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Rule2023-22299

Implementation of 2022 Wassenaar Arrangement Decisions and Request for Comments on License Exception Eligibility for Certain Supersonic Aero Gas Turbine Engine Component Technology

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Published

October 18, 2023

Effective

October 18, 2023

Issuing agencies

Commerce DepartmentIndustry and Security Bureau

Abstract

The Bureau of Industry and Security (BIS) maintains, as part of its Export Administration Regulations (EAR), the Commerce Control List (CCL), which identifies certain items subject to Department of Commerce jurisdiction. During the December 2022 Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (WA) Plenary meeting, Participating States of the WA (Participating States) made certain decisions affecting the WA dual-use and munitions control lists, which BIS is now implementing via amendments to the CCL. BIS seeks comments on restricting STA eligibility for countries in EAR Country Group A:5 of certain technology for the development of supersonic aero gas turbine engine components controlled under ECCN 9E003.k, formerly controlled under ECCN 9E001 as part of its ongoing assessment of current export control licensing policy.

Full Text

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[Federal Register Volume 88, Number 200 (Wednesday, October 18, 2023)]
[Rules and Regulations]
[Pages 71932-71985]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-22299]

[[Page 71931]]

Vol. 88

Wednesday,

No. 200

October 18, 2023

Part II

Department of Commerce

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Bureau of Industry and Security

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15 CFR Parts 734, 740, 742, et al.

Implementation of 2022 Wassenaar Arrangement Decisions and Request for
Comments on License Exception Eligibility for Certain Supersonic Aero
Gas Turbine Engine Component Technology; Interim Final Rule

Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 /
Rules and Regulations

[[Page 71932]]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 734, 740, 742, 772, and 774

[Docket No. 230929-0236]
RIN 0694-AI95

Implementation of 2022 Wassenaar Arrangement Decisions and
Request for Comments on License Exception Eligibility for Certain
Supersonic Aero Gas Turbine Engine Component Technology

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Interim final rule, with request for comment.

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SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part
of its Export Administration Regulations (EAR), the Commerce Control
List (CCL), which identifies certain items subject to Department of
Commerce jurisdiction. During the December 2022 Wassenaar Arrangement
on Export Controls for Conventional Arms and Dual-Use Goods and
Technologies (WA) Plenary meeting, Participating States of the WA
(Participating States) made certain decisions affecting the WA dual-use
and munitions control lists, which BIS is now implementing via
amendments to the CCL. BIS seeks comments on restricting STA
eligibility for countries in EAR Country Group A:5 of certain
technology for the development of supersonic aero gas turbine engine
components controlled under ECCN 9E003.k, formerly controlled under
ECCN 9E001 as part of its ongoing assessment of current export control
licensing policy.

DATES: This rule is effective October 18, 2023. Comments specific to
ECCN 9E003.k must be received by BIS no later than December 4, 2023.

ADDRESSES: Comments on this rule may be submitted to the Federal
rulemaking portal (<a href="http://www.regulations.gov">www.regulations.gov</a>). The <a href="http://regulations.gov">regulations.gov</a> ID for
this rule is: BIS-2023-0025. Please refer to RIN 0694-AI95 in all
comments.
All filers using the portal should use the name of the person or
entity submitting the comments as the name of their files, in
accordance with the instructions below. Anyone submitting business
confidential information should clearly identify the business
confidential portion at the time of submission, file a statement
justifying nondisclosure and referring to the specific legal authority
claimed, and provide a non-confidential version of the submission.
For comments submitted electronically containing business
confidential information, the file name of the business confidential
version should begin with the characters ``BC.'' Any page containing
business confidential information must be clearly marked ``BUSINESS
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked
``PUBLIC.'' The file name of the non-confidential version should begin
with the character ``P.'' Any submissions with file names that do not
begin with either a ``BC'' or a ``P'' will be assumed to be public and
will be made publicly available through <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Commenters submitting business confidential information are encouraged
to scan a hard copy of the non-confidential version to create an image
of the file, rather than submitting a digital copy with redactions
applied, to avoid inadvertent redaction errors which could enable the
public to read business confidential information.

FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron
Cook, Office of Exporter Services, Bureau of Industry and Security,
U.S. Department of Commerce at 202-482-2440 or by email:
<a href="/cdn-cgi/l/email-protection#1043787162627f7e3e537f7f7b507279633e747f733e777f66">[email&#160;protected]</a>.

For Technical Questions Contact

Categories 0, 1 & 2: Sean Ghannadian at 202-482-3429 or
<a href="/cdn-cgi/l/email-protection#590a3c3837771e31383737383d303837193b302a773d363a773e362f">[email&#160;protected]</a>
Category 3: Carlos Monroy at 202-482-3246 or <a href="/cdn-cgi/l/email-protection#672406150b0814492a080915081e27050e144903080449000811">[email&#160;protected]</a>
Categories 4 & 5: Aaron Amundson or <a href="/cdn-cgi/l/email-protection#2d6c4c5f4243036c405843495e42436d4f445e0349424e034a425b">[email&#160;protected]</a>
Categories 6: John Varesi at 202-482-1114 or <a href="/cdn-cgi/l/email-protection#c78da8afa9e991a6b5a2b4ae87a5aeb4e9a3a8a4e9a0a8b1">[email&#160;protected]</a>
Categories 7: David Rosenberg at 202-482-5987, John Varesi at 202-482-
1114 or <a href="/cdn-cgi/l/email-protection#ade9ccdbc4c983ffc2dec8c3cfc8dfcaedcfc4de83c9c2ce83cac2db">[email&#160;protected]</a> or <a href="/cdn-cgi/l/email-protection#0c46636462225a6d7e697f654c6e657f2268636f226b637a">[email&#160;protected]</a>
Category 9: David Rosenberg at 202-482-5987, Jason Chauvin at 202-482-
6462 or <a href="/cdn-cgi/l/email-protection#f3b792859a97dda19c80969d91968194b3919a80dd979c90dd949c85">[email&#160;protected]</a> or <a href="/cdn-cgi/l/email-protection#dd97bcaeb2b3f39eb5bca8abb4b39dbfb4aef3b9b2bef3bab2ab">[email&#160;protected]</a>
``600 Series'' (munitions items): Jeffrey Leitz at 202-482-7417 or
<a href="/cdn-cgi/l/email-protection#19537c7f7f6b7c6037557c706d63597b706a377d767a377e766f">[email&#160;protected]</a>

SUPPLEMENTARY INFORMATION:

Background

The WA (<a href="http://www.wassenaar.org/">http://www.wassenaar.org/</a>) is a group of 42 like-minded
states committed to promoting responsibility and transparency in the
global arms trade and preventing destabilizing accumulations of
conventional weapons. As a Participating State of the WA (Participating
State), the United States has committed to controlling for export all
items on the WA's List of Dual-Use Goods and Technologies (WA Dual-Use
List) and on the WA Munitions List (together, WA control lists). The WA
control lists were first established in 1996 and have been revised
annually thereafter. Participating States implement changes to the WA
control lists as soon as possible after the WA Plenary. By doing so in
a timely manner, the United States demonstrates its decisive support
for the goals of the WA, namely, that transfers do not contribute to
the development or enhancement of military capabilities or are not
diverted to support such capabilities. Timely implementation also
ensures that U.S. companies have a level playing field with their
competitors in other Participating States.

Revisions to the Commerce Control List Related to WA 2022 Plenary
Meeting Decisions

Revisions (14) ECCNs: 1B001, 4D001,4E001, 6A005, 6B007, 7A003,
7E004, 8A001, 8A002, 9A001, 9A003, 9E001, 9E002, and 9E003.
Editorial Revision to Technical Notes in (55) ECCNS: This rule adds
the phrase `For the purposes of' in various Technical Notes in singular
and plural form in ECCNs 1A004, 1A006, 1A007, 1A008, 1B001, 1C001,
1C002, 1C005, 1C008, 1C010, 1C011, 2A001, 2B004, 2B006, 2B008, 2B009,
2E003, 3A001, 3A002, 3B001, 3D003, 3D006, 3E001, 3E002, 4A004, 4D001,
4E001, 5A001, 5A002, 5A004, 6A001, 6A002, 6A003, 6A004, 6A005, 6A006,
6A007, 6A008, 6B007, 6C002, 6C005, 6D003, 6E003,7A004, 7A005, 7A006,
7B001, 7D002, 7E004, 8A002, 8C001, 8E002, 9A004, 9B005, and 9E003. The
intention of this revision is to ensure consistency among ECCNs.

1C010 ``Fibrous or Filamentary Materials''

This rule makes an editorial revision by adding a reference to
1C010.e.1.b to technical note 1 because both paragraphs e.1.b.1 and
e.1.b.2 use terms referenced in this technical note.

4D001 ``Software'' and 4E001 ``Technology''

In paragraphs 4D001.b.1 and 4E001.b.1, this rule changes the
parameters of Weighted TeraFLOPS (WT) from 15 to 24. This change is
made because processors with built-in hardware memory-coherent
interconnects allow groupings of up to 8 processors without any
additional

[[Page 71933]]

technical know-how, and it is widely believed that a single processor
will reach Adjusted Peak Performance (APP) levels of up to 2 WT in the
next year, and up to 2.5 WT by the 2025 timeframe. Thus, companies will
soon be able to build computers that exceed the current APP levels
without any additional technology. The corresponding technology and
software levels in License Exception APP (Section 740.7 of the EAR)
were adjusted in a final rule that implemented certain changes agreed
to at the December 2021 WA Plenary. See 88 FR 12108 (February 24,
2023). Thus, BIS is not making any additional adjustments to those
thresholds at this time.

6A005 ``Lasers'', ``Components'' and Optical Equipment

This rule raises the ``average output power'' parameter from ``50
W'' to ``80 W'' in 6A005.b.3.a.2. For the industrial applications that
use green lasers, the power level is a key factor in manufacturing
productivity. These applications require certain pulse energies for the
resultant processes. To enhance manufacturing productivity, the
repetition frequency for a given pulse energy must be increased,
thereby requiring an increase in the average output power. Today, the
average output power requirements for industrial green lasers exceed
the WA threshold of 50 W, and are expected to continue an upward trend
to more than 80 W. Companies outside of Participating States compete in
the industrial green laser market, for example, several Chinese
companies manufacture green lasers with average output power in the 50-
80 W range.
To accommodate increased demand for single-mode semiconductor laser
diodes, a decision was made during the WA 2022 Plenary to increase the
technical parameters for semiconductor lasers. Specifically, adjusting
the wavelength from 1,510 nm to 1,570 nm in 6A005.d.1.a.1 and d.1.a.2
groups these lasers with other semiconductor lasers with lower
sensitivity applications. As a result, the necessary output power
accommodation for automotive Light Detection and Ranging (LIDAR)
applications is achieved with a modest output power increase from 1.5 W
to 2.0 W in 6A005.d.1.a.1. Semiconductor lasers that fall within these
parameters, while very useful for automotive LIDAR, have limited
utility in military applications.

6A007 Gravity Meters (Gravimeters) and Gravity Gradiometers

A technical note to define `time-to-steady-state registration' is
added after paragraph 6A007.b.2, to harmonize this entry with the entry
on the WA Dual-Use List.

6B007 Equipment To Produce, Align and Calibrate Land-Based Gravity
Meters

This rule adds the word ``less'' to the heading of ECCN 6B007 to
clarify that an ``accuracy'' better than 0.1 mGal is less than 0.1
mGal.

7A003 `Inertial Measurement Equipment or Systems'

This rule moves the definition of `inertial measurement equipment
or systems' from Note 1 to a technical note, so that this entry is
consistent with other CCL entries in which definitions are set forth in
technical notes.

8A001 Submersible Vehicles and Surface Vessels

In paragraph 8A001.c.1.c, this rule adds the term `wireless' before
the term `optical data' to clarify that the reference is to
communications through water and to distinguish Remotely Operated
Vehicles (ROVs) having this capability from those designed to only use
a fiber optic data link.

8A002 Marine Systems, Equipment, ``Parts'' and ``Components''

In paragraphs 8A002.o.2.b and 8A002.o.2.c, this rule replaces the
term `engines' with `motors' before the term `propulsion.' While the
terms ``engines'' and ``motors'' are largely interchangeable, it was
determined that ``motor'' is more commonly used in the context of 8A002
items. In paragraph 8A002.o.4, this rule adds a new control for
permanent magnet propulsion systems (PM propulsion systems) to
adequately cover propulsion systems using permanent magnet motors,
including Rim Driven Propulsion systems (RDPs).

9A001 Aero Gas Turbine Engines, and Technology Therefor in 9E001 and
9E002

This rule revises 9A001, 9A003, 9E001, 9E002, and 9E003 to permit
the same civil certification release from 9A001 to 9A991 for supersonic
aero gas turbine engines that is available for subsonic aero gas
turbine engines.
The rule conforms with the decisions made at WA with regard to
9A001, specifically to combine 9A001.a and 9A001.b to allow for the
same exclusion when the engine is certified by type with a civil
certified supersonic aircraft. This rule revises the reference to
9A001.a in Notes 1 and 2 to read as 9A001, as 9A001.a is now the only
subparagraph in 9A001. Note 1 now excludes from 9A001 aero gas turbine
engines that power an ``aircraft'' to Mach 1 or higher for more than 30
minutes if the engines have been certified by an appropriate civil
aviation authority, and are intended to power an ``aircraft'' for which
a type certificate (or equivalent document) has been issued, as these
engines are now controlled under ECCN 9A991 for AT reasons. As a
conforming revision, the reference to 9A001.b is removed from the
headings of ECCNs 9E001 and 9E002, as well as from the license
requirements tables of these ECCNs. In addition, consistent with the
removal of 9A001.b from the CCL, as described above, this rule also
removes paragraphs (E) and (F) from Sec. 740.20(b)(2)(viii), which had
identified technology associated with 9A001.b that was ineligible for
export, reexport, and transfer (in-country) under License Exception
STA. Former paragraph (G) is redesignated as paragraph (E).

9A003 ``Specially Designed'' Assemblies or ``Components,''
Incorporating Any of the ``Technologies'' Controlled by 9E003.a,
9E003.h, 9E003.i, or 9E003.k, for Any of the Following Aero Gas Turbine
Engines

This rule adds paragraph 9E003.k to the heading of ECCN 9A003,
which expands the scope of control of assemblies and components under
this ECCN.

9E003 Other ``Technology'' as Specified

This rule makes a simple editorial change to remove the first comma
in 9E003.c after ``cooling holes'' that otherwise might bring confusion
to the control text. This rule also redesignates 9E003.k as 9E003.l and
adds a new paragraph 9E003.k to control specific technologies, formerly
controlled by 9E001, that are peculiarly responsible for the
development of an aero gas turbine engine that can enable an aircraft
to cruise at supersonic speeds (Mach 1 or greater) for more than 30
minutes. This technology addition to 9E003 addresses the
``development'' of systems and components that enable the engine and
aircraft to operate a supersonic speed. Because 9E003.k references
engine capability (which does not change with certification) this
important ``development'' technology will remain controlled even after
the engine enters civil operation. The license requirement table is
amended to reflect the redesignation of 9E003.k to

[[Page 71934]]

9E003.l to the SI control paragraph. Related revisions as a result of
this redesignation are made to Sec. Sec. 734.4(a)(4),
740.20(b)(2)(viii), 742.14(a), and the introductory text of 742.14(b).
The new 9E003.k technology for supersonic engines controls
development technology only. The associated production technology has
shifted from ECCN 9E002 to ECCN 9E991 and is designated as ``No License
Required'' (NLR) to all destinations or countries listed in Country
Group A:5 and A:6 (see supplement no. 1 to part 740 of the EAR).
The STA restrictions under 9E003 are revised by adding an ``or''
after 9E003.h and adding Country Group A:5 to harmonize with
740.20(b)(2) for 9E003. In addition, this rule adds a new STA
restriction paragraph for 9E003.k for Country Group A:6 in order to
maintain the STA restriction previously on ECCN 9E001 for ECCN
paragraph 9A001.b. As required by the Export Control Reform Act (ECRA)
(50 U.S.C. 4801-4852), BIS continually evaluates the control status of
a range of technologies, including those related to supersonic engines,
to effectively protect U.S. national security and foreign policy
interests. In light of the amendments to 9E001 and 9E003 implementing
the WA revisions, which identify technologies required for the
development of specific components or systems specially designed for
supersonic engines, BIS is seeking comment on whether to retain License
Exception STA eligibility for destinations specified in Country Group
A:5 of supplement no. 1 to part 740 of the EAR for the technology
specified in 9E003.k. We invite the public to comment on this issue
before the comment period closes. Information about how to comment is
provided in the Address section of this rule.

Part 772--Definitions of Terms

This rule revises the definition for ``intrusion software'' by
adding double quotes around the term ``program'' in paragraph (2) to
indicate it is a defined term in Sec. 772.1.
This rule notes the two occurrences of the term ``program'' that
did not have double quotation marks indicating it is a defined term in
Sec. 772.1 and corrects this omission in technical note 1 below
paragraph .g in ECCN 1B001 and in paragraph (2) in the definition of
``intrusion software'' in Sec. 772.1. This rule also amends the term
``program'' in Sec. 772.1 to add category 1 and 7 and remove category
2 from the categories where the term is used.

Supplement No. 6 to Part 774 Sensitive List

Paragraph 4 of supplement no. 6 to part 774 Sensitive List (SL) is
amended by removing paragraphs (ii) 4D001 and (iii) 4E001. This change
is being made as a consequence of the raising of the APP thresholds in
4D001 and 4E001. This rule implements the WA 2022 Plenary determination
that high performance computer technology and software do not merit the
same level of sensitivity as other items on the SL.

Savings Clause

Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on October 18, 2023, pursuant to
actual orders for exports, reexports and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported or transferred (in-country) before December
18, 2023. Any such items not actually exported, reexported or
transferred (in-country) before midnight, on December 18, 2023, require
a license in accordance with this interim final rule.

Export Control Reform Act of 2018

On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act (ECRA), 50 U.S.C. 4801-4852.
ECRA, as amended, provides the legal basis for BIS's principal
authorities and serves as the authority under which BIS issues this
rule.

Rulemaking Requirements

1. Executive Orders 12866, 13563, and 14094 direct agencies to
assess all costs and benefits of available regulatory alternatives and,
if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects and distributive impacts and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits and of reducing costs, harmonizing rules, and
promoting flexibility.
This interim final rule has been designated a ``significant
regulatory action'' under section 3(f) of Executive Order 12866, as
amended by Executive Order 14094. This rule does not contain policies
with Federalism implications as that term is defined under Executive
Order 13132.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number. Although
this rule makes important changes to the EAR for items controlled for
national security reasons, BIS believes that the overall increases in
burdens and costs associated with the following information collections
due to this rule will be minimal.
<bullet> 0694-0088, ``Simplified Network Application Processing
System,'' which carries a burden- hour estimate of 29.6 minutes for a
manual or electronic submission;
<bullet> 0694-0137 ``License Exceptions and Exclusions,'' which
carries a burden-hour estimate average of 1.5 hours per submission
(Note: submissions for License Exceptions are rarely required);
<bullet> 0694-0096 ``Five Year Records Retention Period,'' which
carries a burden-hour estimate of less than 1 minute; and
<bullet> 0607-0152 ``Automated Export System (AES) Program,'' which
carries a burden-hour estimate of 3 minutes per electronic submission.
Additional information regarding these collections of information--
including all background materials--can be found at <a href="https://www.reginfo.gov/public/do/PRAMain">https://www.reginfo.gov/public/do/PRAMain</a> and using the search function to
enter either the title of the collection or the OMB Control Number.
3. Pursuant to Section 1762 of ECRA (50 U.S.C. 4821), this action
is exempt from the Administrative Procedure Act (APA) (5 U.S.C. 553)
requirements for notice of proposed rulemaking, opportunity for public
participation and delay in effective date.

List of Subjects

15 CFR Part 734

Administrative practice and procedure, Exports, Inventions and
patents, Research, Science and technology.

15 CFR Part 740

Administrative practice and procedure, Exports, Reporting and
recordkeeping.

15 CFR Part 742

Exports, Terrorism.

[[Page 71935]]

15 CFR Part 772

Exports.

15 CFR Part 774

Exports, Reporting and recordkeeping requirements, Terrorism.

Accordingly, parts 734, 740, 742, 772 and 774 of the Export
Administration Regulations (15 CFR parts 730-774) are amended as
follows:

PART 734--SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS

0
1. The authority citation for part 734 continues to read as follows:

Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2014 Comp.,
p. 223; Notice of November 8, 2022, 87 FR 68015 (November 10, 2022).

0
2. Section 734.4 is amended to revise paragraph (a)(4) to read as
follows:

Sec. 734.4 De Minimis U.S. content.

(a) * * *
(4) There is no de minimis level for U.S.-origin technology
controlled by ECCN 9E003.a.1 through a.6, a.8, .h, .i, and .l, when
redrawn, used, consulted, or otherwise commingled abroad.
* * * * *

PART 740--LICENSE EXCEPTIONS

0
3. The authority citation for part 740 continues to read as follows:

Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783.

0
4. Section 740.20 is amended by revising paragraph (b)(2)(viii) to read
as follows:

Sec. 740.20 License Exception Strategic Trade Authorization (STA).

* * * * *
(b) * * *
(2) * * *
(viii) Commerce Control List Category 9 limitations on use of
License Exception STA.
(A) License Exception STA may not be used for 9B001 when destined
to a country in Country Group A:6.
(B) License Exception STA may not be used for 9D001 or 9D002
``software'' that is ``specially designed'' or modified for the
``development'' or ``production'' of:
(1) Components of engines controlled by ECCN 9A001 if such
components incorporate any of the ``technologies'' controlled by
9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c,
9E003.h, or 9E003.i (other than technology for fan or power turbines);
or
(2) Equipment controlled by 9B001.
(C) License Exception STA may not be used for 9D001 ``software''
that is ``specially designed'' or modified for the ``development'' of
``technology'' controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3,
9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h, or 9E003.i (other than
technology for fan or power turbines).
(D) License Exception STA may not be used for 9D004.f or 9D004.g
``software''.
(E) License Exception STA may not be used for ``technology'' in
9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c,
9E003.h, or 9E003.i (other than technology for fan or power turbines).
* * * * *

PART 742--CONTROL POLICY--CCL BASED CONTROLS

0
5. The authority citation for part 742 continues to read as follows:

Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22
U.S.C. 7201 et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117
Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O.
12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR
59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004
Comp., p. 320; Notice of November 8, 2022, 87 FR 68015 (November 10,
2022).

0
6. Section 742.14 is amended by revising paragraphs (a) and (b)
introductory text to read as follows:

Sec. 742.14 Significant items: hot section technology for the
development, production or overhaul of commercial aircraft engines,
components, and systems.

(a) License requirement. Licenses are required for all
destinations, except Canada, for ECCNs having an ``SI'' under the
``Reason for Control'' paragraph. These items include hot section
technology for the development, production or overhaul of commercial
aircraft engines controlled under ECCN 9E003.a.1 through a.6, a.8, .h,
.i, and .l, and related controls.
(b) Licensing policy. Pursuant to section 6 of the Export
Administration Act of 1979, as amended, foreign policy controls apply
to technology required for the development, production or overhaul of
commercial aircraft engines controlled by ECCN 9E003a.1 through a.6,
a.8, .h, .i, and .l, and related controls. These controls supplement
the national security controls that apply to these items. Applications
for export and reexport to all destinations will be reviewed on a case-
by-case basis to determine whether the export or reexport is consistent
with U.S. national security and foreign policy interests. The following
factors are among those that will be considered to determine what
action will be taken on license applications:
* * * * *

PART 772--DEFINITIONS OF TERMS

0
7. The authority citation for part 772 continues to read as follows:

Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783.

0
8. Section 772.1 is amended by revising the definitions for ``Intrusion
software'' and ``Program'' to read as follows:

Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).

* * * * *
Intrusion software. (5P2) ``Software'' specially designed or
modified to avoid detection by `monitoring tools', or to defeat
`protective countermeasures', of a computer or network-capable device,
and performing any of the following:
(1) The extraction of data or information, from a computer or
network-capable device, or the modification of system or user data; or
(2) The modification of the standard execution path of a
``program'' or process in order to allow the execution of externally
provided instructions.

Note 1 to ``Intrusion Software'' Definition: ``Intrusion software''
does not include any of the following: Hypervisors, debuggers or
Software Reverse Engineering (SRE) tools; Digital Rights Management
(DRM) ``software''; or ``Software'' designed to be installed by
manufacturers, administrators or users, for the purposes of asset
tracking or recovery.
Note 2 to ``Intrusion Software'' Definition: Network-capable
devices include mobile devices and smart meters.
Technical note 1 to ``Intrusion Software'' Definition: `Monitoring
tools': ``software'' or hardware devices, that monitor system behaviors
or processes running on a device. This includes antivirus (AV)
products, end point security products, Personal Security Products
(PSP), Intrusion Detection Systems (IDS), Intrusion Prevention Systems
(IPS) or firewalls.

[[Page 71936]]

Technical note 2 to ``Intrusion Software'' Definition: `Protective
countermeasures': techniques designed to ensure the safe execution of
code, such as Data Execution Prevention (DEP), Address Space Layout
Randomization (ASLR) or sandboxing.
* * * * *
Program. (Cat 1, 4, 6, and 7)--A sequence of instructions to carry
out a process in, or convertible into, a form executable by an
electronic computer.

PART 774--THE COMMERCE CONTROL LIST

0
9. The authority citation for part 774 continues to read as follows:

Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C.
287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15
U.S.C. 1824; 50 U.S.C. 4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783.

0
10. In supplement no. 1 to part 774, ECCNs 1A004, 1A006, 1A007, 1A008,
1B001, 1C001, 1C002, 1C003, 1C005, 1C008, 1C010, 1C011, 2A001, 2B004,
2B006, 2B008, 2B009, 2E003, 3A001, 3A002, 3B001, 3D003, 3D006, 3E001,
3E002, 4A004, 4D001, 4E001, 5A001, 5A002, 5A004, 6A001, 6A002, 6A003,
6A004, 6A005, 6A006, 6A007, 6A008, 6B007, 6C002, 6C005, 6D003, 6E003,
7A003, 7A004, 7A005, 7A006, 7B001, 7D002, 7E004, 8A001, 8A002, 8C001,
8E002, 9A001, 9A003, 9A004, 9A005, 9B005, 9E001, 9E002, and 9E003 are
revised to read as follows:

Supplement No. 1 to Part 774--The Commerce Control List

* * * * *
1A004 Protective and detection equipment and ``components'', not
``specially designed'' for military use, as follows (see List of
Items Controlled).

License Requirements

Reason for Control: NS, CB, RS, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
CB applies to chemical detection systems CB Column 2
and dedicated detectors therefor, in
1A004.c, that also have the technical
characteristic.
RS apply to 1A004.d....................... RS Column 2
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: Yes for 1A004.a, .b, and .c.2.

List of Items Controlled

Related Controls: (1) See ECCNs 1A995, 2B351, and 2B352. (2) See
ECCN 1D003 for ``software'' ``specially designed'' or modified to
enable equipment to perform the functions of equipment controlled
under section 1A004.c (Nuclear, biological, and chemical (NBC)
detection systems). (3) See ECCN 1E002.g for control libraries
(parametric technical databases) ``specially designed'' or modified
to enable equipment to perform the functions of equipment controlled
under 1A004.c (Nuclear, biological, and chemical (NBC) detection
systems). (4) Chemical and biological protective and detection
equipment specifically designed, developed, modified, configured, or
adapted for military applications is ``subject to the ITAR'' (see 22
CFR parts 120 through 130, including USML Category XIV(f)), as is
commercial equipment that incorporates ``parts'' or ``components''
controlled under that category except for domestic preparedness
devices for individual protection that integrate ``components'' and
``parts'' identified in USML Category XIV(f)(4) when such ``parts''
or ``components'' are: Integral to the device; inseparable from the
device; and incapable of replacement without compromising the
effectiveness of the device, in which case the equipment is subject
to the export licensing jurisdiction of the Department of Commerce
under ECCN 1A004. (5) This entry does not control radionuclides
incorporated in equipment listed in this entry--such materials are
subject to the licensing jurisdiction of the Nuclear Regulatory
Commission (See 10 CFR part 110).
Related Definitions: (1) `Biological agents' means: pathogens or
toxins, selected or modified (such as altering purity, shelf life,
virulence, dissemination characteristics, or resistance to UV
radiation) to produce casualties in humans or animals, degrade
equipment or damage crops or the environment. (2) `Riot control
agents' are substances which, under the expected conditions of use
for riot control purposes, produce rapidly in humans sensory
irritation or disabling physical effects which disappear within a
short time following termination of exposure. (Tear gases are a
subset of `riot control agents.')
Items:

a. Full face masks, filter canisters and decontamination
equipment therefor, designed or modified for defense against any of
the following, and ``specially designed'' ``components'' therefor:

Note: 1A004.a includes Powered Air Purifying Respirators (PAPR)
that are designed or modified for defense against agents or
materials, listed in 1A004.a.
Technical Notes: For the purposes of 1A004.a:
1. Full face masks are also known as gas masks.
2. Filter canisters include filter cartridges.
a.1. `Biological agents';
a.2. `Radioactive materials';
a.3. Chemical warfare (CW) agents; or
a.4. `Riot control agents', as follows:
a.4.a. [alpha]-Bromobenzeneacetonitrile, (Bromobenzyl cyanide)
(CA) (CAS 5798-79-8);
a.4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
a.4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride ([omega]-
chloroacetophenone) (CN) (CAS 532-27-4);
a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
a.4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine
chloride), (Adamsite), (DM) (CAS 578-94-9);
a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
b. Protective suits, gloves and shoes, ``specially designed'' or
modified for defense against any of the following:
b.1. `Biological agents';
b.2. `Radioactive materials'; or
b.3. Chemical warfare (CW) agents;
c. Detection systems, ``specially designed'' or modified for
detection or identification of any of the following, and ``specially
designed'' ``components'' therefor:
c.1. `Biological agents';
c.2. `Radioactive materials'; or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for automatically detecting or
identifying the presence of ``explosives'' (as listed in the annex
at the end of Category 1) residues and utilizing `trace detection'
techniques (e.g., surface acoustic wave, ion mobility spectrometry,
differential mobility spectrometry, mass spectrometry).
Technical Note: For the purposes of 1A004.d, `trace detection'
is defined as the capability to detect less than 1 ppm vapor, or 1
mg solid or liquid.
Note 1: 1A004.d does not apply to equipment ``specially
designed'' for laboratory use.
Note 2: 1A004.d does not apply to non-contact walk-through
security portals.
Note: 1A004 does not control:
a. Personal radiation monitoring dosimeters;
b. Occupational health or safety equipment limited by design or
function to protect against hazards specific to residential safety
or civil industries, including:
1. Mining;
2. Quarrying;
3. Agriculture;
4. Pharmaceutical;
5. Medical;
6. Veterinary;
7. Environmental;
8. Waste management;
9. Food industry.
Technical Notes:
1. 1A004 includes equipment, ``components'' that have been
`identified,' successfully tested to national standards or otherwise
proven effective, for the detection of or defense against
`radioactive materials' `biological agents,' chemical warfare
agents, `simulants' or ``riot control agents,'' even if such
equipment or ``components'' are used in civil industries such as
mining, quarrying,

[[Page 71937]]

agriculture, pharmaceuticals, medical, veterinary, environmental,
waste management, or the food industry.
2. `Simulant': A substance or material that is used in place of
toxic agent (chemical or biological) in training, research, testing
or evaluation.
3. For the purposes of 1A004, `radioactive materials' are those
selected or modified to increase their effectiveness in producing
casualties in humans or animals, degrading equipment or damaging
crops or the environment.
* * * * *
1A006 Equipment, ``specially designed'' or modified for the disposal
of Improvised Explosive Devices (IEDs), as follows (see List of
Items Controlled), and ``specially designed'' ``components'' and
``accessories'' therefor.

License Requirements

Reason for Control: NS, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1

License Requirement Note: 1A006 does not apply to equipment when
accompanying its operator.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: Equipment ``specially designed'' for military use
for the disposal of IEDs is ``subject to the ITAR'' (see 22 CFR
parts 120 through 130, including USML Category IV).
Related Definitions: N/A
Items:

a. Remotely operated vehicles;
b. `Disruptors'.

Technical Note: For the purposes of 1A006.b `disruptors' are
devices ``specially designed'' for the purpose of preventing the
operation of an explosive device by projecting a liquid, solid or
frangible projectile.
Note: 1A006 does not apply to equipment when accompanying its
operator.

1A007 Equipment and devices, ``specially designed'' to initiate
charges and devices containing ``energetic materials,'' by
electrical means, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
NP applies to 1A007.b, as well as 1A007.a NP Column 1
when the detonator firing set meets or
exceeds the parameters of 3A229.
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: High explosives and related equipment ``specially
designed'' for military use are ``subject to the ITAR'' (see 22 CFR
parts 120 through 130). This entry does not control detonators using
only primary explosives, such as lead azide. See also ECCNs 0A604,
3A229, and 3A232. See 1E001 for ``development'' and ``production''
technology controls, and 1E201 for ``use'' technology controls.
Related Definitions: N/A
Items:

a. Explosive detonator firing sets designed to drive explosive
detonators specified by 1A007.b;
b. Electrically driven explosive detonators as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).

Technical Notes:
1. The word initiator or igniter is sometimes used in place of
the word detonator.
2. For the purposes of 1A007.b, the detonators of concern all
utilize a small electrical conductor (bridge, bridge wire, or foil)
that explosively vaporizes when a fast, high-current electrical
pulse is passed through it. In non slapper types, the exploding
conductor starts a chemical detonation in a contacting high
explosive material such as PETN (pentaerythritoltetranitrate). In
slapper detonators, the explosive vaporization of the electrical
conductor drives a flyer or slapper across a gap, and the impact of
the slapper on an explosive starts a chemical detonation. The
slapper in some designs is driven by magnetic force. The term
exploding foil detonator may refer to either an EB or a slapper-type
detonator.

1A008 Charges, devices and ``components'', as follows (see List of
Items Controlled).

License Requirements

Reason for Control: NS, UN, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $3,000 for .a through .c; $6,000 for .d.
GBS: N/A

List of Items Controlled

Related Controls: (1) All of the following are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130):

a. High explosives and related equipment ``specially designed''
for military use;
b. Explosive devices or charges in this entry that utilize USML
controlled energetic materials (See 22 CFR 121.1 Category V), if
they have been specifically designed, developed, configured,
adapted, or modified for a military application;
c. Shaped charges that have all of the following a uniform
shaped conical liner with an included angle of 90 degrees or less,
more than 2.0 kg of controlled materials, and a diameter exceeding
4.5 inches;
d. Detonating cord containing greater than 0.1 kg per meter (470
grains per foot) of controlled materials;
e. Cutters and severing tools containing greater than 10 kg of
controlled materials;
f. With the exception of cutters and severing tools, devices or
charges controlled by this entry where the USML controlled materials
can be easily extracted without destroying the device or charge; and
g. Individual USML controlled energetic materials in this entry,
even when compounded with other materials, when not incorporated
into explosive devices or charges controlled by this entry or 1C992.

(2) See also ECCNs 1C011, 1C018, 1C111, 1C239, and 1C608 for
additional controlled energetic materials. See ECCN 1E001 for the
``development'' or ``production'' ``technology'' for the commodities
controlled by ECCN 1A008, but not for explosives or commodities that
are ``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:

a. `Shaped charges' having all of the following:
a.1. Net Explosive Quantity (NEQ) greater than 90 g; and
a.2. Outer casing diameter equal to or greater than 75 mm;
b. Linear shaped cutting charges having all of the following,
and ``specially designed'' ``components'' therefor:
b.1. An explosive load greater than 40 g/m; and
b.2. A width of 10 mm or more;
c. Detonating cord with explosive core load greater than 64 g/m;
d. Cutters, not specified by 1A008.b, and severing tools, having
a NEQ greater than 3.5 kg.

Technical Note: For the purposes of 1A008.a, `shaped charges'
are explosive

[[Page 71938]]

charges shaped to focus the effects of the explosive blast.
Note: The only charges and devices specified in 1A008 are those
containing ``explosives'' (see list of explosives in the Annex at
the end of Category 1) and mixtures thereof.
* * * * *
1B001 Equipment for the production or inspection of ``composite''
structures or laminates controlled by 1A002 or ``fibrous or
filamentary materials'' controlled by 1C010, as follows (see List of
Items Controlled), and ``specially designed'' ``components'' and
``accessories'' therefor.

License Requirements

Reason for Control: NS, MT, NP, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
MT applies to entire entry, except MT Column 1
1B001.d.4, e and f. Note: MT applies to
equipment in 1B001.d that meet or exceed
the parameters of 1B101.
NP applies to filament winding machines NP Column 1.
described in 1B001.a that are capable of
winding cylindrical rotors having a
diameter between 75 mm (3 in) and 400 mm
(16 in) and lengths of 600 mm (24 in) or
greater; AND coordinating and programming
controls and precision mandrels for these
filament winding machines.
AT applies to entire entry................ AT Column 1.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A for MT and for 1B001.a; $5000 for all other items
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCN 1D001 for software for items
controlled by this entry and see ECCNs 1E001 (``development'' and
``production'') and 1E101 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1B101 and 1B201.
Related Definitions: N/A
Items:

a. Filament winding machines, of which the motions for
positioning, wrapping and winding fibers are coordinated and
programmed in three or more `primary servo positioning' axes,
``specially designed'' for the manufacture of ``composite''
structures or laminates, from ``fibrous or filamentary materials'';
b. `Tape laying machines', of which the motions for positioning
and laying tape are coordinated and programmed in five or more
`primary servo positioning' axes, ``specially designed'' for the
manufacture of ``composite'' airframe or missile structures;

Technical Note: For the purposes of 1B001.b, `tape-laying
machines' have the ability to lay one or more `filament bands'
limited to widths greater than 25.4 mm and less than or equal to
304.8 mm, and to cut and restart individual `filament band' courses
during the laying process.
c. Multidirectional, multidimensional weaving machines or
interlacing machines, including adapters and modification kits,
``specially designed'' or modified for weaving, interlacing or
braiding fibers for ``composite'' structures;
Technical Note: For the purposes of 1B001.c the technique of
interlacing includes knitting.

d. Equipment ``specially designed'' or adapted for the
production of reinforcement fibers, as follows:
d.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon
fibers or silicon carbide fibers, including special equipment to
strain the fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or
compounds, on heated filamentary substrates, to manufacture silicon
carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such
as aluminum oxide);
d.4. Equipment for converting aluminum containing precursor
fibers into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the
hot melt method;
f. Non-destructive inspection equipment ``specially designed''
for ``composite'' materials, as follows:
f.1. X-ray tomography systems for three dimensional defect
inspection;
f.2. Numerically controlled ultrasonic testing machines of which
the motions for positioning transmitters or receivers are
simultaneously coordinated and programmed in four or more axes to
follow the three dimensional contours of the ``part'' or
``component'' under inspection;
g. Tow-placement machines, of which the motions for positioning
and laying tows are coordinated and programmed in two or more
`primary servo positioning' axes, ``specially designed'' for the
manufacture of ``composite'' airframe or missile structures.

Technical Note to 1B001.g: For the purposes of 1B001.g, `tow-
placement machines' have the ability to place one or more `filament
bands' having widths less than or equal to 25.4 mm, and to cut and
restart individual `filament band' courses during the placement
process.
Technical Notes for 1B001:
1. For the purposes of 1B001, `primary servo positioning' axes
control, under computer ``program'' direction, the position of the
end effector (i.e., head) in space relative to the work piece at the
correct orientation and direction to achieve the desired process.
2. For the purposes of 1B001, a `filament band' is a single
continuous width of fully or partially resin-impregnated tape, tow
or fiber. Fully or partially resin-impregnated `filament bands'
include those coated with dry powder that tacks upon heating.
* * * * *
1C001 Materials ``specially designed'' for absorbing electromagnetic
radiation, or intrinsically conductive polymers, as follows (see
List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 1
MT applies to items that meet or exceed MT Column 1
the parameters of ECCN 1C101.
AT applies to entire entry................ AT Column 1

Reporting Requirements

See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See also 1C101.
Related Definitions: N/A
Items:

a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz
but less than 3 x 10\12\ Hz.
Note 1: 1C001.a does not control:
a. Hair type absorbers, constructed of natural or synthetic
fibers, with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface
is non-planar in shape, including pyramids, cones, wedges and
convoluted surfaces;
c. Planar absorbers, having all of the following:
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with
carbon-loading, or organic materials, including binders, providing
more than 5% echo compared with metal over a bandwidth exceeding
<plus-minus<ls-thn-eq>15% of the center frequency of the incident
energy, and not capable of withstanding temperatures exceeding 450 K
(177 [deg]C); or

[[Page 71939]]

b. Ceramic materials providing more than 20% echo compared with
metal over a bandwidth exceeding <plus-minus<ls-thn-eq>15% of the
center frequency of the incident energy, and not capable of
withstanding temperatures exceeding 800 K (527 [deg]C);
Technical Note: For the purposes of 1C001.a Note 1.c.1,
absorption test samples should be a square at least 5 wavelengths of
the center frequency on a side and positioned in the far field of
the radiating element.
2. Tensile strength less than 7 x 10\6\ N/m\2\; and
3. Compressive strength less than 14 x 10\6\ N/m\2\;
d. Planar absorbers made of sintered ferrite, having all of the
following:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 [deg]C) or
less;
e. Planar absorbers having no magnetic loss and fabricated from
`open-cell foams' plastic material with a density of 0.15 grams/
cm\3\ or less.
Technical Note: For the purposes of 1C001.a Note e., `open-cell
foams' are flexible and porous materials, having an inner structure
open to the atmosphere. `Open-cell foams' are also known as
reticulated foams.
Note 2: Nothing in Note 1 releases magnetic materials to provide
absorption when contained in paint.
b. Materials not transparent to visible light and ``specially
designed'' for absorbing near-infrared radiation having a wavelength
exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150
THz but less than 370 THz);
Note: 1C001.b does not apply to materials, ``specially
designed'' or formulated for any of the following applications:
a. ``Laser'' marking of polymers; or
b. ``Laser'' welding of polymers.
c. Intrinsically conductive polymeric materials with a `bulk
electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or
a `sheet (surface) resistivity' of less than 100 ohms/square, based
on any of the following polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Note: 1C001.c does not apply to materials in a liquid form.
Technical Note: For the purposes of 1C001.c, `bulk electrical
conductivity' and `sheet (surface) resistivity' should be determined
using ASTM D-257 or national equivalents.

1C002 Metal alloys, metal alloy powder and alloyed materials, as
follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
NP applies to 1C002.b.3 or b.4 if they NP Column 1
exceed the parameters stated in 1C202.
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $3000; N/A for NP
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCN 1C202. (3) Aluminum
alloys and titanium alloys in physical forms and finished products
``especially designed'' or prepared for use in separating uranium
isotopes are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definition: N/A
Items:

Note: 1C002 does not control metal alloys, metal alloy powder
and alloyed materials, specially formulated for coating purposes.
Technical Note: For the purposes of 1C002, metal alloys are
those containing a higher percentage by weight of the stated metal
than of any other element.

a. Aluminides, as follows:
a.1. Nickel aluminides containing a minimum of 15% by weight
aluminum, a maximum of 38% by weight aluminum and at least one
additional alloying element;
a.2. Titanium aluminides containing 10% by weight or more
aluminum and at least one additional alloying element;
b. Metal alloys, as follows, made from the powder or particulate
material controlled by 1C002.c:
b.1. Nickel alloys having any of the following:
b.1.a. A `stress-rupture life' of 10,000 hours or longer at 923
K (650 [deg]C) at a stress of 676 MPa; or
b.1.b. A `low cycle fatigue life' of 10,000 cycles or more at
823 K (550 [deg]C) at a maximum stress of 1,095 MPa;
b.2. Niobium alloys having any of the following:
b.2.a. A `stress-rupture life' of 10,000 hours or longer at
1,073 K (800 [deg]C) at a stress of 400 MPa; or
b.2.b. A `low cycle fatigue life' of 10,000 cycles or more at
973 K (700 [deg]C) at a maximum stress of 700 MPa;
b.3. Titanium alloys having any of the following:
b.3.a. A `stress-rupture life' of 10,000 hours or longer at 723
K (450 [deg]C) at a stress of 200 MPa; or
b.3.b. A `low cycle fatigue life' of 10,000 cycles or more at
723 K (450 [deg]C) at a maximum stress of 400 MPa;
b.4 Aluminum alloys having any of the following:
b.4.a. A tensile strength of 240 MPa or more at 473 K (200
[deg]C); or
b.4.b. A tensile strength of 415 MPa or more at 298 K (25
[deg]C);
b.5. Magnesium alloys having all the following:
b.5.a. A tensile strength of 345 MPa or more; and
b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium
chloride aqueous solution measured in accordance with ASTM standard
G-31 or national equivalents;

Technical Notes: For the purposes of 1C002.b:
1. `Stress-rupture life' should be measured in accordance with
ASTM standard E-139 or national equivalents.
2. `Low cycle fatigue life' should be measured in accordance
with ASTM Standard E-606 `Recommended Practice for Constant-
Amplitude Low-Cycle Fatigue Testing' or national equivalents.
Testing should be axial with an average stress ratio equal to 1 and
a stress-concentration factor (Kt) equal to 1. The average stress
ratio is defined as maximum stress minus minimum stress divided by
maximum stress.
c. Metal alloy powder or particulate material, having all of the
following:
c.1. Made from any of the following composition systems:
Technical Note: For the purposes of 1C002.c.1, X equals one or
more alloying elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine
engine ``parts'' or ``components,'' i.e., with less than 3 non-
metallic particles (introduced during the manufacturing process)
larger than 100 [mu]m in 109 alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si,
Nb-Ti-X or Nb-X-Ti);
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn,
Al-Fe-X or Al-X-Fe); or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
c.2. Made in a controlled environment by any of the following
processes:
c.2.a. `Vacuum atomization';
c.2.b. `Gas atomization';
c.2.c. `Rotary atomization';
c.2.d. `Splat quenching';
c.2.e. `Melt spinning' and `comminution';
c.2.f. `Melt extraction' and `comminution';
c.2.g. `Mechanical alloying'; or
c.2.h. `Plasma atomization'; and
c.3. Capable of forming materials controlled by 1C002.a or
1C002.b;
d. Alloyed materials, having all the following:
d.1. Made from any of the composition systems specified by
1C002.c.1;
d.2. In the form of uncomminuted flakes, ribbons or thin rods;
and
d.3. Produced in a controlled environment by any of the
following:
d.3.a. `Splat quenching';
d.3.b. `Melt spinning'; or
d.3.c. `Melt extraction'.
Technical Notes: For the purposes of 1C002:
1. `Vacuum atomization' is a process to reduce a molten stream
of metal to droplets of a diameter of 500 [mu]m or less by the rapid
evolution of a dissolved gas upon exposure to a vacuum.

[[Page 71940]]

2. `Gas atomization' is a process to reduce a molten stream of
metal alloy to droplets of 500 [mu]m diameter or less by a high
pressure gas stream.
3. `Rotary atomization' is a process to reduce a stream or pool
of molten metal to droplets of a diameter of 500 [mu]m or less by
centrifugal force.
4. `Splat quenching' is a process to `solidify rapidly' a molten
metal stream impinging upon a chilled block, forming a flake-like
product.
5. `Melt spinning' is a process to `solidify rapidly' a molten
metal stream impinging upon a rotating chilled block, forming a
flake, ribbon or rod-like product.
6. `Comminution' is a process to reduce a material to particles
by crushing or grinding.
7. `Melt extraction' is a process to `solidify rapidly' and
extract a ribbon-like alloy product by the insertion of a short
segment of a rotating chilled block into a bath of a molten metal
alloy.
8. `Mechanical alloying' is an alloying process resulting from
the bonding, fracturing and rebonding of elemental and master alloy
powders by mechanical impact. Non-metallic particles may be
incorporated in the alloy by addition of the appropriate powders.
9. `Plasma atomization' is a process to reduce a molten stream
or solid metal to droplets of 500 [mu]m diameter or less, using
plasma torches in an inert gas environment.
10. For the purposes of 1C002 Technical Notes, `solidify
rapidly' is a process involving the solidification of molten
material at cooling rates exceeding 1000 K/sec.

1C003 Magnetic metals, of all types and of whatever form, having any
of the following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $3000
GBS: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

a. Initial relative permeability of 120,000 or more and a
thickness of 0.05 mm or less;
Technical Note: For the purposes of 1C003.a, measurement of
initial relative permeability must be performed on fully annealed
materials.
b. Magnetostrictive alloys having any of the following:
b.1. A saturation magnetostriction of more than 5 x
104-4; or
b.2. A magnetomechanical coupling factor (k) of more than 0.8;
or
c. Amorphous or `nanocrystalline' alloy strips, having all of
the following:
c.1. A composition having a minimum of 75% by weight of iron,
cobalt or nickel;
c.2. A saturation magnetic induction (B<INF>s</INF>) of 1.6 T or
more; and
c.3. Any of the following:
c.3.a. A strip thickness of 0.02 mm or less; or
c.3.b. An electrical resistivity of 2 x 10-4 ohm cm
or more.

Technical Note: For the purposes of 1C003.c, `nanocrystalline'
materials are those materials having a crystal grain size of 50 nm
or less, as determined by X-ray diffraction.
* * * * *
1C005 ``Superconductive'' ``composite'' conductors in lengths
exceeding 100 m or with a mass exceeding 100 g, as follows (see List
of Items Controlled).

License Requirements

Reason for Control: NS, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $1500
GBS: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

a. ``Superconductive'' ``composite'' conductors containing one
or more niobium-titanium `filaments', having all of the following:
a.1. Embedded in a ``matrix'' other than a copper or copper-
based mixed ``matrix''; and
a.2. Having a cross-section area less than 0.28 x
10-4 mm\2\ (6 [mu]m in diameter for circular
`filaments');
b. ``Superconductive'' ``composite'' conductors consisting of
one or more ``superconductive'' `filaments' other than niobium-
titanium, having all of the following:
b.1. A ``critical temperature'' at zero magnetic induction
exceeding 9.85 K (-263.31 [deg]C); and
b.2. Remaining in the ``superconductive'' state at a temperature
of 4.2 K (-268.96 [deg]C) when exposed to a magnetic field oriented
in any direction perpendicular to the longitudinal axis of conductor
and corresponding to a magnetic induction of 12 T with critical
current density exceeding 1750 A/mm\2\ on overall cross-section of
the conductor.
c. ``Superconductive'' ``composite'' conductors consisting of
one or more ``superconductive'' `filaments' which remain
``superconductive'' above 115 K (-158.16 [deg]C).
Technical Note: For the purposes of 1C005, `filaments' may be in
wire, cylinder, film, tape or ribbon form.
* * * * *
1C008 Non-fluorinated polymeric substances as follows (see List of
Items Controlled).

License Requirements

Reason for Control: NS, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $200
GBS: N/A

List of Items Controlled

Related Controls: See also 1A003.
Related Definitions: N/A
Items:

a. Imides as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides (PAI) having a `glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C);
a.3. Aromatic polyimides having a `glass transition temperature
(Tg)' exceeding 505 K (232 [deg]C);
a.4. Aromatic polyetherimides having a `glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C);
Note: 1C008.a controls the substances in liquid or solid
``fusible'' form, including resin, powder, pellet, film, sheet,
tape, or ribbon.
N.B.: For non-``fusible'' aromatic polyimides in film, sheet,
tape, or ribbon form, see ECCN 1A003.
b. [Reserved]
c. [Reserved]
d. Polyarylene ketones;
e. Polyarylene sulfides, where the arylene group is biphenylene,
triphenylene or combinations thereof;
f. Polybiphenylenethersulphone having a `glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C).
Technical Notes:
1. For the purposes of 1C008.a.2 thermoplastic materials,
1C008.a.4 materials, and 1C008.f materials, the `glass transition
temperature (Tg)' is determined using the method described in ISO
11357-2 (1999) or national equivalents.
2. For the purposes of 1C008.a.2 thermosetting materials and
1C008.a.3 materials, the `glass transition temperature (Tg)' is
determined using the 3-point bend method described in ASTM D 7028-07
or equivalent national standard. The test is to be performed using a
dry test specimen which has attained a minimum of 90% degree of cure
as specified by ASTM E 2160-04 or equivalent national standard, and
was cured using the combination of standard- and post-cure processes
that yield the highest Tg.
* * * * *
1C010 ``Fibrous or filamentary materials'' as follows (see List of
Items Controlled).

[[Page 71941]]

License Requirements

Reason for Control: NS, NP, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
NP applies to 1C010.a (aramid ``fibrous or NP Column 1
filamentary materials'', b (carbon
``fibrous and filamentary materials''),
and e.1 for ``fibrous and filamentary
materials'' that meet or exceed the
control criteria of ECCN 1C210.
AT applies to entire entry................ AT Column 1

Reporting Requirements

See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $1500, N/A for NP
GBS: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in
1C010.c to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1C210 and 1C990. (3)
See also 9C110 for material not controlled by 1C010.e, as defined by
notes 1 or 2.
Related Definitions: (1) ``Specific modulus'': Young's modulus in
pascals, equivalent to N/m2 divided by specific weight in N/m3,
measured at a temperature of (296+2) K ((23+2) [deg]C) and a
relative humidity of (50+5) %. (2) ``Specific tensile strength'':
ultimate tensile strength in pascals, equivalent to N/m2 divided by
specific weight in N/m3, measured at a temperature of (296+2) K
((23+2) [deg]C) and a relative humidity of (50+5) %.
Items:
Technical Notes:
1. For the purposes of calculating ``specific tensile
strength'', ``specific modulus'' or specific weight of ``fibrous or
filamentary materials'' in 1C010.a, 1C010.b, 1C010.c, or 1C010.e.1.b
the tensile strength and modulus should be determined by using
Method A described in ISO 10618 (2004) or national equivalents.
2. For the purposes of assessing the ``specific tensile
strength'', ``specific modulus'' or specific weight of non-
unidirectional ``fibrous or filamentary materials'' (e.g., fabrics,
random mats or braids) in 1C010, this is to be based on the
mechanical properties of the constituent unidirectional
monofilaments (e.g., monofilaments, yarns, rovings or tows) prior to
processing into the non-unidirectional ``fibrous or filamentary
materials''.
a. Organic ``fibrous or filamentary materials'', having all of
the following:
a.1. ``Specific modulus'' exceeding 12.7 x 10\6\ m; and
a.2. ``Specific tensile strength'' exceeding 23.5 x 10\4\ m;
Note: 1C010.a does not control polyethylene.
b. Carbon ``fibrous or filamentary materials'', having all of
the following:
b.1. ``Specific modulus'' exceeding 14.65 x 10\6\ m; and
b.2. ``Specific tensile strength'' exceeding 26.82 x 10\4\ m;
Note: 1C010.b does not control:
a. ``Fibrous or filamentary materials'', for the repair of
``civil aircraft'' structures or laminates, having all of the
following:
1. An area not exceeding 1 m2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut carbon ``fibrous or
filamentary materials'' 25.0 mm or less in length.
c. Inorganic ``fibrous or filamentary materials'', having all of
the following:
c.1. Having any of the following:
c.1.a. Composed of 50% or more by weight silicon dioxide
(SiO<INF>2</INF>) and having a ``specific modulus'' exceeding 2.54 x
10\6\ m; or
c.1.b. Not specified in 1C010.c.1.a and having a ``specific
modulus'' exceeding 5.6 x 10\6\ m; and
c.2. Melting, softening, decomposition or sublimation point
exceeding 1,922 K (1,649 [deg]C) in an inert environment;
Note: 1C010.c does not control:
a. Discontinuous, multiphase, polycrystalline alumina fibers in
chopped fiber or random mat form, containing 3% by weight or more
silica, with a ``specific modulus'' of less than 10 x 106 m;
b. Molybdenum and molybdenum alloy fibers;
c. Boron fibers;
d. Discontinuous ceramic fibers with a melting, softening,
decomposition or sublimation point lower than 2,043 K (1,770 [deg]C)
in an inert environment.
d. ``Fibrous or filamentary materials'', having any of the
following:
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by 1C008.a; or
d.1.b. Materials controlled by 1C008.b to 1C008.f; or
d.2. Composed of materials controlled by 1C010.d.1.a or
1C010.d.1.b and `commingled' with other fibers controlled by
1C010.a, 1C010.b or 1C010.c;
Technical Note: For the purposes of 1C010.d.2, `commingled' is
filament to filament blending of thermoplastic fibers and
reinforcement fibers in order to produce a fiber reinforcement
``matrix'' mix in total fiber form.
e. Fully or partially resin impregnated or pitch impregnated
``fibrous or filamentary materials'' (prepregs), metal or carbon
coated ``fibrous or filamentary materials'' (preforms) or `carbon
fiber preforms', having all of the following:
e.1. Having any of the following:
e.1.a. Inorganic ``fibrous or filamentary materials'' controlled
by 1C010.c; or
e.1.b. Organic or carbon ``fibrous or filamentary materials'',
having all of the following:
e.1.b.1. ``Specific modulus'' exceeding 10.15 x 10\6\ m; and
e.1.b.2 ``Specific tensile strength'' exceeding 17.7 x 10\4\m;
and
e.2. Having any of the following:
e.2.a. Resin or pitch, controlled by 1C008 or 1C009.b;
e.2.b. `Dynamic Mechanical Analysis glass transition temperature
(DMA T<INF>g</INF>)' equal to or exceeding 453 K (180[deg]C) and
having a phenolic resin; or
e.2.c. `Dynamic Mechanical Analysis glass transition temperature
(DMA T<INF>g</INF>)' equal to or exceeding 505 K (232[deg]C) and
having a resin or pitch, not specified by 1C008 or 1C009.b, and not
being a phenolic resin;
Note 1: Metal or carbon coated ``fibrous or filamentary
materials'' (preforms) or `carbon fiber preforms', not impregnated
with resin or pitch, are specified by ``fibrous or filamentary
materials'' in 1C010.a, 1C010.b or 1C010.c.
Note 2: 1C010.e does not apply to:
a. Epoxy resin ``matrix'' impregnated carbon ``fibrous or
filamentary materials'' (prepregs) for the repair of ``civil
aircraft'' structures or laminates, having all of the following:
1. An area not exceeding 1 m2
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm;
b. Fully or partially resin-impregnated or pitch-impregnated
mechanically chopped, milled or cut carbon ``fibrous or filamentary
materials'' 25.0 mm or less in length when using a resin or pitch
other than those specified by 1C008 or 1C009.b.
Technical Notes:
1. For the purposes of 1C010.e and Note 1, `carbon fiber
preforms' are an ordered arrangement of uncoated or coated fibers
intended to constitute a framework of a part before the ``matrix''
is introduced to form a ``composite''.
2. For the purposes of 1C010.e.2, `Dynamic Mechanical Analysis
glass transition temperature (DMA Tg)' is determined using the
method described in ASTM D 7028 -07, or equivalent national
standard, on a dry test specimen. In the case of thermoset
materials, degree of cure of a dry test specimen shall be a minimum
of 90% as defined by ASTM E 2160 04 or equivalent national standard.

1C011 Metals and compounds, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, MT, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
MT applies to 1C011.a and .b for items MT Column 1
that meet or exceed the parameters in
1C111..

[[Page 71942]]

AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See also ECCNs 1C111 and 1C608. (2) All of the
following are ``subject to the ITAR'' (see 22 CFR parts 120 through
130): (a) Materials controlled by 1C011.a, and metal fuels in
particle form, whether spherical, atomized, spheroidal, flaked or
ground, manufactured from material consisting of 99 percent or more
of items controlled by 1C011.b; and (b) Metal powders mixed with
other substances to form a mixture formulated for military purposes.
Related Definitions: N/A
Items:

a. Metals in particle sizes of less than 60 [mu]m whether
spherical, atomized, spheroidal, flaked or ground, manufactured from
material consisting of 99% or more of zirconium, magnesium and
alloys thereof;
Technical Note: For the purposes of 1C011.a, the natural content
of hafnium in the zirconium (typically 2% to 7%) is counted with the
zirconium.
Note: The metals or alloys specified by 1C011.a also refer to
metals or alloys encapsulated in aluminum, magnesium, zirconium or
beryllium.
b. Boron or boron alloys, with a particle size of 60 [mu]m or
less, as follows:
b.1. Boron with a purity of 85% by weight or more;
b.2. Boron alloys with a boron content of 85% by weight or more;
Note: The metals or alloys specified by 1C011.b also refer to
metals or alloys encapsulated in aluminum, magnesium, zirconium or
beryllium.
c. Guanidine nitrate (CAS 506-93-4);
d. Nitroguanidine (NQ) (CAS 556-88-7).
* * * * *
2A001 Anti-friction bearings, bearing systems and ``components,'' as
follows, (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
MT applies to radial ball bearings having MT Column 1
all tolerances specified in accordance
with ISO 492 Tolerance Class 2 (or ANSI/
ABMA Std 20 Tolerance Class ABEC-9, or
other national equivalents) or better and
having all the following characteristics:
an inner ring bore diameter between 12
and 50 mm; an outer ring outside diameter
between 25 and 100 mm; and a width
between 10 and 20 mm..
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $3000, N/A for MT
GBS: Yes, for 2A001.a,
N/A for MT

List of Items Controlled

Related Controls: (1) See also 2A991. (2) Quiet running bearings
are ``subject to the ITAR'' (see 22 CFR parts 120 through 130.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:

Note: 2A001.a includes ball bearing and roller elements
``specially designed'' for the items specified therein.
a. Ball bearings and solid roller bearings, having all
tolerances specified by the manufacturer in accordance with ISO 492
Tolerance Class 2 or Class 4 (or national equivalents), or better,
and having both `rings' and `rolling elements', made from monel or
beryllium;
Note: 2A001.a does not control tapered roller bearings.
Technical Notes: For the purposes of 2A001.a:
1. `Ring'--is an annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
2. `Rolling element'--is a ball or roller which rolls between
raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following,
and ``specially designed'' components therefor:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for
actuators; or
c.3. High temperature (450 K (177 [deg]C) and above) position
sensors.
* * * * *

B. ``Test,'' ``Inspection'' and ``Production Equipment''

Technical Notes for 2B001 to 2B009, 2B201, and 2B991 to 2B999:
1. For the purposes of 2B, secondary parallel contouring axes,
(e.g., the w-axis on horizontal boring mills or a secondary rotary
axis the center line of which is parallel to the primary rotary
axis) are not counted in the total number of contouring axes. Rotary
axes need not rotate over 360 [deg]. A rotary axis can be driven by
a linear device (e.g., a screw or a rack-and-pinion).
2. For the purposes of 2B, the number of axes which can be
coordinated simultaneously for ``contouring control'' is the number
of axes along or around which, during processing of the workpiece,
simultaneous and interrelated motions are performed between the
workpiece and a tool. This does not include any additional axes
along or around which other relative motions within the machine are
performed, such as:
2.a. Wheel-dressing systems in grinding machines;
2.b. Parallel rotary axes designed for mounting of separate
workpieces;
2.c. Co-linear rotary axes designed for manipulating the same
workpiece by holding it in a chuck from different ends.
3. For the purposes of 2B, axis nomenclature shall be in
accordance with International Standard ISO 841:2001, Industrial
automation systems and integration--Numerical control of machines--
Coordinate system and motion nomenclature.
4. For the purposes of this Category, a ``tilting spindle'' is
counted as a rotary axis.
5. For the purposes of 2B, `stated ``unidirectional positioning
repeatability''' may be used for each specific machine model as an
alternative to individual machine tests, and is determined as
follows:
5.a. Select five machines of a model to be evaluated;
5.b. Measure the linear axis repeatability (R[uarr],R[darr])
according to ISO 230-2:2014 and evaluate ``unidirectional
positioning repeatability'' for each axis of each of the five
machines;
5.c. Determine the arithmetic mean value of the ``unidirectional
positioning repeatability''-values for each axis of all five
machines together. These arithmetic mean values ``unidirectional
positioning repeatability'' (UPR) become the stated value of each
axis for the model. . .)(UPRx, UPRy, . . .);
5.d. Since the Category 2 list refers to each linear axis there
will be as many `stated ``unidirectional positioning
repeatability''' values as there are linear axes;
5.e. If any axis of a machine model not controlled by 2B001.a.
to 2B001.c. has a `stated ``unidirectional positioning
repeatability''' equal to or less than the specified
``unidirectional positioning repeatability'' of each machine tool
model plus 0.7 [micro]m, the builder should be required to reaffirm
the accuracy level once every eighteen months.
6. For the purposes of 2B, measurement uncertainty for the
``unidirectional positioning repeatability'' of machine tools, as
defined in the International Standard ISO 230-2:2014, shall not be
considered.

[[Page 71943]]

7. For the purposes of 2B, the measurement of axes shall be made
according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for
axes longer than 2 meters shall be made over 2 m segments. Axes
longer than 4 m require multiple tests (e.g., two tests for axes
longer than 4 m and up to 8 m, three tests for axes longer than 8 m
and up to 12 m), each over 2 m segments and distributed in equal
intervals over the axis length. Test segments are equally spaced
along the full axis length, with any excess length equally divided
at the beginning, in between, and at the end of the test segments.
The smallest ``unidirectional positioning repeatability''-value of
all test segments is to be reported.
* * * * *
2B004 Hot ``isostatic presses'' having all of the characteristics
described in the List of Items Controlled, and ``specially
designed'' ``components'' and ``accessories'' therefor.

License Requirements

Reason for Control: NS, MT NP, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
MT applies to entire entry................ MT Column 1
NP applies to entire entry, except NP Column 1
2B004.b.3 and presses with maximum
working pressures below 69 MPa.
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCN 2D001 for software for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) For ``specially designed'' dies,
molds and tooling, see ECCNs 0B501, 0B602, 0B606, 1B003, 9B004, and
9B009. (4) For additional controls on dies, molds and tooling, see
ECCNs 1B101.d, 2B104 and 2B204. (5) Also see ECCNs 2B117 and
2B999.a.
Related Definitions: N/A
Items:

a. A controlled thermal environment within the closed cavity and
possessing a chamber cavity with an inside diameter of 406 mm or
more; and
b. Having any of the following:
b.1. A maximum working pressure exceeding 207 MPa;
b.2. A controlled thermal environment exceeding 1,773 K (1,500
[deg]C); or
b.3. A facility for hydrocarbon impregnation and removal of
resultant gaseous degradation products.
Technical Note: For the purposes of 2B004, the inside chamber
dimension is that of the chamber in which both the working
temperature and the working pressure are achieved and does not
include fixtures. That dimension will be the smaller of either the
inside diameter of the pressure chamber or the inside diameter of
the insulated furnace chamber, depending on which of the two
chambers is located inside the other.
* * * * *
2B006 Dimensional inspection or measuring systems, equipment,
position feedback units and ``electronic assemblies'', as follows
(see List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Country chart (see supp. no.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
NP applies to those items in 2B006.a, b.1, NP Column 1
b.3, and .c (angular displacement
measuring instruments) that meet or
exceed the technical parameters in 2B206..
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCNs 2D001 and 2D002 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B206 and 2B996.
Related Definitions: N/A
Items:

a. Computer controlled or ``numerically controlled'' Coordinate
Measuring Machines (CMM), having a three dimensional length
(volumetric) maximum permissible error of length measurement
(E<INF>0,MPE</INF>) at any point within the operating range of the
machine (i.e., within the length of axes) equal to or less (better)
than (1.7 + L/1,000) [mu]m (L is the measured length in mm)
according to ISO 10360-2 (2009);
Technical Note: For the purposes of 2B006.a, E<INF>0,MPE</INF>
of the most accurate configuration of the CMM specified by the
manufacturer (e.g.,best of the following: Probe, stylus length,
motion parameters, environment) and with ``all compensations
available'' shall be compared to the 1.7 + L/1,000 [mu]m threshold.
b. Linear displacement measuring instruments or systems, linear
position feedback units, and ``electronic assemblies'', as follows:
Note: Interferometer and optical-encoder measuring systems
containing a ``laser'' are only specified by 2B006.b.3.
b.1. `Non-contact type measuring systems' with a `resolution'
equal to or less (better) than 0.2 [mu]m within 0 to 0.2 mm of the
'measuring range';
Technical Notes: For the purposes of 2B006.b.1:
1. `Non-contact type measuring systems' are designed to measure
the distance between the probe and measured object along a single
vector, where the probe or measured object is in motion.
2. `Measuring range' means the distance between the minimum and
maximum working distance.
b.2. Linear position feedback units ``specially designed'' for
machine tools and having an overall ``accuracy'' less (better) than
(800 + (600 x L/1,000)) nm (L equals effective length in mm);
b.3. Measuring systems having all of the following:
b.3.a. Containing a ``laser'';
b.3.b. A `resolution' over their full scale of 0.200 nm or less
(better); and
b.3.c. Capable of achieving a ``measurement uncertainty'' equal
to or less (better) than (1.6 + L/2,000) nm (L is the measured
length in mm) at any point within a measuring range, when
compensated for the refractive index of air and measured over a
period of 30 seconds at a temperature of 20<plus-minus>0.01[deg]C;
Technical Note: For the purposes of 2B006.b, `resolution' is the
least increment of a measuring device; on digital instruments, the
least significant bit.
b.4. ``Electronic assemblies'' ``specially designed'' to provide
feedback capability in systems controlled by 2B006.b.3;
c. Rotary position feedback units ``specially designed'' for
machine tools or angular displacement measuring instruments, having
an angular position ``accuracy'' equal to or less (better) than 0.9
second of arc;
Note: 2B006.c does not control optical instruments, such as
autocollimators, using collimated light (e.g., ``laser'' light) to
detect angular displacement of a mirror.
d. Equipment for measuring surface roughness (including surface
defects), by measuring optical scatter with a sensitivity of 0.5 nm
or less (better).
Note: 2B006 includes machine tools, other than those specified
by 2B001, that can be used as measuring machines, if they meet or
exceed the criteria specified for the measuring machine function.
* * * * *
2B008 `Compound rotary tables' and ``tilting spindles'', ``specially
designed'' for machine tools, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, AT

Country chart (see supp. no.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1

[[Page 71944]]

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: See also 2B998.
Related Definition: N/A
Items:

a. [Reserved]
b. [Reserved]
c. `Compound rotary tables' having all of the following:
c.1. Designed for machine tools for turning, milling or
grinding; and
c.2. Two rotary axes designed to be coordinated simultaneously
for ``contouring control''.
Technical Note: For the purposes of 2B008.c, a `compound rotary
table' is a table allowing the workpiece to rotate and tilt about
two non-parallel axes.
d. ``Tilting spindles'' having all of the following:
d.1. Designed for machine tools for turning, milling or
grinding; and
d.2. Designed to be coordinated simultaneously for ``contouring
control''.
* * * * *
2B009 Spin-forming machines and flow-forming machines, which,
according to the manufacturer's technical specifications, can be
equipped with ``numerical control'' units or a computer control and
having all of the following characteristics (see List of Items
Controlled).

License Requirements

Reason for Control: NS, MT, NP, AT

Country chart (see supp. no.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
MT applies to: spin-forming............... MT Column 1
machines combining the functions of spin-
forming and flow-forming; and flow-
forming machines that meet or exceed the
parameters of 2B009.a and 2B109.
NP applies to flow-forming machines, and NP Column 1
spin-forming machines capable of flow-
forming functions, that meet or exceed
the parameters of 2B209.
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCN 2D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B109 and 2B209 for
additional flow-forming machines for MT and NP reasons.
Related Definitions: N/A
Items:

a. Three or more axes which can be coordinated simultaneously
for ``contouring control''; and
b. A roller force more than 60 kN.
Technical Note: For the purposes of 2B009, machines combining
the function of spin-forming and flow-forming are regarded as flow-
forming machines.
* * * * *
2E003 Other ``technology'', as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

TSR: Yes, except 2E003.b, .e and .f

List of Items Controlled

Related Controls: See 2E001, 2E002, and 2E101 for ``development''
and ``use'' technology for equipment that are designed or modified
for densification of carbon-carbon composites, structural composite
rocket nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:

a. [Reserved]
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
``specially designed'' for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. `Direct-acting hydraulic pressing';
b.2. [Reserved]
N.B.: For ``technology'' for metal-working manufacturing
processes for gas turbine engines and components, see 9E003 and USML
Category XIX
Technical Note: For the purposes of 2E003.b.1.c, `direct-acting
hydraulic pressing' is a deformation process which uses a fluid-
filled flexible bladder in direct contact with the workpiece.
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. [Reserved]
e. ``Technology'' for the ``development'' of integration
``software'' for incorporation of expert systems for advanced
decision support of shop floor operations into ``numerical control''
units;
f. ``Technology'' for the application of inorganic overlay
coatings or inorganic surface modification coatings (specified in
column 3 of the following table) to non-electronic substrates
(specified in column 2 of the following table), by processes
specified in column 1 of the following table and defined in the
Technical Note.
N.B. This table should be read to control the technology of a
particular `Coating Process' only when the resultant coating in
column 3 is in a paragraph directly across from the relevant
`Substrate' under column 2. For example, Chemical Vapor Deposition
(CVD) `coating process' control the ``technology'' for a particular
application of `silicides' to `Carbon-carbon, Ceramic and Metal
``matrix'' ``composites'' substrates, but are not controlled for the
application of `silicides' to `Cemented tungsten carbide (16),
Silicon carbide (18)' substrates. In the second case, the resultant
coating is not listed in the paragraph under column 3 directly
across from the paragraph under column 2 listing `Cemented tungsten
carbide (16), Silicon carbide (18)'.

Category 2E--Materials Processing Table; Deposition Techniques
---------------------------------------------------------------------------

\1\ The numbers in parenthesis refer to the Notes following this
Table.

------------------------------------------------------------------------
3. Resultant
1. Coating process (1) \1\ 2. Substrate coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition ``Superalloys''... Aluminides for
(CVD). internal passages
Ceramics (19) and Silicides
Low-expansion Carbides
glasses(14). Dielectric layers
(15)
Diamond
Diamond-like
carbon (17)

[[Page 71945]]

Carbon-carbon, Silicides
Ceramic, and Carbides
Metal ``matrix'' Refractory metals
``composites``.
Mixtures thereof
(4)
Dielectric layers
(15)
Aluminides
Alloyed aluminides
(2)
Boron nitride
Cemented tungsten. Carbides
carbide (16),..... Tungsten
Silicon carbide Mixtures thereof
(18). (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Diamond
Diamond-like
carbon (17)
Sensor window Dielectric layers
materials (9). (15)
Diamond
Diamond-like
carbon (17)
B. Thermal-Evaporation Physical
Vapor:
1. Physical Vapor Deposition ``Superalloys''... Alloyed silicides
(PVD): Deposition (TE-PVD) Alloyed aluminides
Electron-Beam (EB-PVD). (2)
MCrAlX (5)
Modified zirconia
(12)
Silicides
Aluminides
Mixtures thereof
(4)
Ceramics (19) and Dielectric layers
Low-expansion (15)
glasses (14).
Corrosion MCrAlX (5)
resistant steel Modified zirconia
(7). (12)
Mixtures thereof
(4)
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``composites''.
Mixtures thereof
(4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof
(18). (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Borides
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Titanium alloys Borides
(13). Nitrides
2. Ion assisted resistive Ceramics (19) and Dielectric layers
heating Physical Vapor Low-expansion (15)
Deposition (PVD)(Ion glasses (14). Diamond-like
Plating). carbon (17)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16). (15)
Silicon carbide...
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric Layers
materials (9). (15)
Diamond-like
carbon (17)
3. Physical Vapor Deposition Ceramics (19) and Silicides
(PVD): ``Laser'' Low-expansion Dielectric layers
Vaporization. glasses (14). (15)
Diamond-like
carbon (17)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric Layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like
carbon
4. Physical Vapor Deposition ``Superalloys''... Alloyed silicides
(PVD): Cathodic Arc Alloyed Aluminides
Discharge. (2)
MCrA1X (5)

[[Page 71946]]

Polymers (11) and Borides
Organic Carbides
``matrix'' Nitrides
``composites''. Diamond-like
carbon (17)
C. Pack cementation (see A above Carbon-carbon, Silicides
for out-of-pack cementation) Ceramic and Metal Carbides
(10). ``matrix'' Mixtures thereof
``composites''. (4)
Titanium alloys Silicides
(13). Aluminides
Alloyed aluminides
(2)
Refractory metals Silicides
and alloys (8). Oxides
D. Plasma spraying.............. ``Superalloys''... MCrAlX (5)
Modified zirconia
(12)
Mixtures thereof
(4)
Abradable Nickel-
Graphite
Abradable
materials
containing
Ni-Cr-Al Abradable
Al-Si-Polyester
Alloyed
aluminides (2)
Aluminum alloys MCrAlX (5)
(6). Modified zirconia
(12)
Silicides
Mixtures thereof
(4)
Refractory metals Aluminides
and alloys (8), Silicides
Carbides, MCrAlX (5)
Corrosion Modified zirconia
resistant steel (12)
(7). Mixtures thereof
(4)
D. Plasma spraying (continued).. Titanium alloys Carbides
(13). Aluminides
Silicides
Alloyed aluminides
(2)
Abradable Nickel Abradable
Graphite. materials
containing
Ni-Cr-Al
Abradable Al-Si-
Polyester
E. Slurry Deposition............ Refractory metals Fused silicides
and alloys (8). Fused aluminides
except for
resistance
heating elements
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Mixtures thereof
``composites''. (4)
F. Sputter Deposition........... ``Superalloys''... Alloyed silicides
Alloyed aluminides
(2)
Noble metal
modified
aluminides (3)
MCrAlX (5)
Modified zirconia
(12)
Platinum
Mixtures thereof
(4)
Ceramics and Low- Silicides
expansion glasses Platinum
(14). Mixtures thereof
(4)
Dielectric layers
(15)
Diamond-like
carbon (17)
Titanium alloys Borides
(13). Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides
(2)
Carbides
F. Sputter Deposition Carbon-carbon, Silicides
(continued). Ceramic and Metal Carbides
``matrix'' Refractory metals
``Composites''.
Mixtures thereof
(4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof
(18). (4)
Dielectric layers
(15)
Boron nitride
Molybdenum and Dielectric layers
Molybdenum alloys. (15)

[[Page 71947]]

Beryllium and Borides
Beryllium alloys. Dielectric layers
(15)
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Diamond-like
carbon (17)
Refractory metals Aluminides
and alloys (8). Silicides
Oxides
Carbides
G. Ion Implantation............. High temperature Additions of
bearing steels. Chromium,Tantalum
, or Niobium
(Columbium)
Titanium alloys Borides
(13). Nitrides
Beryllium and Borides
Beryllium alloys.
Cemented tungsten Carbides
carbide (16). Nitrides
------------------------------------------------------------------------

Notes to Table on Deposition Techniques:
1. The term ``coating process'' includes coating repair and
refurbishing as well as original coating.
2. The term ``alloyed aluminide coating'' includes single or
multiple-step coatings in which an element or elements are deposited
prior to or during application of the aluminide coating, even if
these elements are deposited by another coating process. It does
not, however, include the multiple use of single-step pack
cementation processes to achieve alloyed aluminides.
3. The term ``noble metal modified aluminide'' coating includes
multiple-step coatings in which the noble metal or noble metals are
laid down by some other coating process prior to application of the
aluminide coating.
4. The term ``mixtures thereof'' includes infiltrated material,
graded compositions, co-deposits and multilayer deposits and are
obtained by one or more of the coating processes specified in the
Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron,
nickel or combinations thereof and X equals hafnium, yttrium,
silicon, tantalum in any amount or other intentional additions over
0.01% by weight in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22% by weight of
chromium, less than 7% by weight of aluminum and less than 2% by
weight of yttrium;
b. CoCrAlY coatings which contain 22 to 24% by weight of
chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight
of yttrium; or
c. NiCrAlY coatings which contain 21 to 23% by weight of
chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight
of yttrium.
6. The term ``aluminum alloys'' refers to alloys having an
ultimate tensile strength of 190 MPa or more measured at 293 K (20
[deg]C).
7. The term ``corrosion resistant steel'' refers to AISI
(American Iron and Steel Institute) 300 series or equivalent
national standard steels.
8. ``Refractory metals and alloys'' include the following metals
and their alloys: niobium (columbium), molybdenum, tungsten and
tantalum.
9. ``Sensor window materials'', as follows: alumina, silicon,
germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond,
gallium phosphide, sapphire and the following metal halides: sensor
window materials of more than 40 mm diameter for zirconium fluoride
and hafnium fluoride.
10. Category 2 does not include ``technology'' for single-step
pack cementation of solid airfoils.
11. ``Polymers'', as follows: polyimide, polyester, polysulfide,
polycarbonates and polyurethanes.
12. ``Modified zirconia'' refers to additions of other metal
oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides)
to zirconia in order to stabilize certain crystallographic phases
and phase compositions. Thermal barrier coatings made of zirconia,
modified with calcia or magnesia by mixing or fusion, are not
controlled.
13. ``Titanium alloys'' refers only to aerospace alloys having
an ultimate tensile strength of 900 MPa or more measured at 293 K
(20 [deg]C).
14. ``Low-expansion glasses'' refers to glasses which have a
coefficient of thermal expansion of 1 x 10-7 K-1 or less measured at
293 K (20 [deg]C).
15. ``Dielectric layers'' are coatings constructed of multi-
layers of insulator materials in which the interference properties
of a design composed of materials of various refractive indices are
used to reflect, transmit or absorb various wavelength bands.
Dielectric layers refers to more than four dielectric layers or
dielectric/metal ``composite'' layers.
16. ``Cemented tungsten carbide'' does not include cutting and
forming tool materials consisting of tungsten carbide/(cobalt,
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium carbide/nickel.
17. ``Technology'' for depositing diamond-like carbon on any of
the following is not controlled: magnetic disk drives and heads,
equipment for the manufacture of disposables, valves for faucets,
acoustic diaphragms for speakers, engine parts for automobiles,
cutting tools, punching-pressing dies, office automation equipment,
microphones, medical devices or molds, for casting or molding of
plastics, manufactured from alloys containing less than 5%
beryllium.
18. ``Silicon carbide'' does not include cutting and forming
tool materials.
19. Ceramic substrates, as used in this entry, does not include
ceramic materials containing 5% by weight, or greater, clay or
cement content, either as separate constituents or in combination.
Technical Note to Table on Deposition Techniques: Processes
specified in Column 1 of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or
surface modification coating process wherein a metal, alloy,
``composite'', dielectric or ceramic is deposited upon a heated
substrate. Gaseous reactants are decomposed or combined in the
vicinity of a substrate resulting in the deposition of the desired
elemental, alloy or compound material on the substrate. Energy for
this decomposition or chemical reaction process may be provided by
the heat of the substrate, a glow discharge plasma, or ``laser''
irradiation.
Note 1: CVD includes the following processes: directed gas flow
out-of-pack deposition, pulsating CVD, controlled nucleation thermal
decomposition (CNTD), plasma enhanced or plasma assisted CVD
processes.
Note 2: Pack denotes a substrate immersed in a powder mixture.
Note 3: The gaseous reactants used in the out-of-pack process
are produced using the same basic reactions and parameters as the
pack cementation process, except that the substrate to be coated is
not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an
overlay coating process conducted in a vacuum with a pressure less
than 0.1 Pa wherein a source of thermal energy is used to vaporize
the coating material. This process results in the condensation, or
deposition, of the evaporated species onto appropriately positioned
substrates. The addition of gases to the vacuum chamber during the
coating process to synthesize compound coatings is an ordinary
modification of the process. The use of ion or electron beams, or
plasma, to activate or assist the coating's deposition is also a
common modification in this technique. The use of monitors to
provide in-process measurement of optical characteristics and
thickness of coatings can

[[Page 71948]]

be a feature of these processes. Specific TE-PVD processes are as
follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate
the material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically
resistive heating sources in combination with impinging ion beam(s)
to produce a controlled and uniform flux of evaporated coating
species;
3. ``Laser'' Vaporization uses either pulsed or continuous wave
``laser'' beams to vaporize the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the
material which forms the coating and has an arc discharge
established on the surface by a momentary contact of a ground
trigger. Controlled motion of arcing erodes the cathode surface
creating a highly ionized plasma. The anode can be either a cone
attached to the periphery of the cathode, through an insulator, or
the chamber. Substrate biasing is used for non line-of-sight
deposition;
Note: This definition does not include random cathodic arc
deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD
process in which a plasma or an ion source is used to ionize the
species to be deposited, and a negative bias is applied to the
substrate in order to facilitate the extraction of the species from
the plasma. The introduction of reactive species, evaporation of
solids within the process chamber, and the use of monitors to
provide in-process measurement of optical characteristics and
thicknesses of coatings are ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay
coating process wherein a substrate is immersed in a powder mixture
(a pack), that consists of:
1. The metallic powders that are to be deposited (usually
aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
Note: The substrate and powder mixture is contained within a
retort which is heated to between 1,030 K (757 [deg]C) to 1,375 K
(1,102 [deg]C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating process wherein a gun
(spray torch) which produces and controls a plasma accepts powder or
wire coating materials, melts them and propels them towards a
substrate, whereon an integrally bonded coating is formed. Plasma
spraying constitutes either low pressure plasma spraying or high
velocity plasma spraying.
Note 1: Low pressure means less than ambient atmospheric
pressure.
Note 2: High velocity refers to nozzle-exit gas velocity
exceeding 750 m/s calculated at 293 K (20 [deg]C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or
overlay coating process wherein a metallic or ceramic powder with an
organic binder is suspended in a liquid and is applied to a
substrate by either spraying, dipping or painting, subsequent air or
oven drying, and heat treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating process based on a
momentum transfer phenomenon, wherein positive ions are accelerated
by an electric field towards the surface of a target (coating
material). The kinetic energy of the impacting ions is sufficient to
cause target surface atoms to be released and deposited on an
appropriately positioned substrate.
Note 1: The Table refers only to triode, magnetron or reactive
sputter deposition which is used to increase adhesion of the coating
and rate of deposition and to radio frequency (RF) augmented sputter
deposition used to permit vaporization of non-metallic coating
materials.
Note 2: Low-energy ion beams (less than 5 keV) can be used to
activate the deposition.
g. Ion Implantation is a surface modification coating process in
which the element to be alloyed is ionized, accelerated through a
potential gradient and implanted into the surface region of the
substrate. This includes processes in which ion implantation is
performed simultaneously with electron beam physical vapor
deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition
Techniques:
1. Technical information for pretreatments of the substrates
listed in the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as
follows:
1. Bath composition;
a. For the removal of old or defective coatings corrosion
product or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned
part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
4. Application of binders to promote adhesion;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. Technical information for in situ quality assurance
techniques for evaluation of the coating processes listed in the
Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. Technical information for post deposition treatments of the
coated substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for
acceptance of the coated substrates;
4. Technical information for quality assurance techniques for
the evaluation of the coated substrates listed in the Table, as
follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment (measured as a
function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. Technical information and parameters related to specific
coating and surface modification processes listed in the Table, as
follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. ``Laser'' parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;

[[Page 71949]]

7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
* * * * *
3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to ``Monolithic Microwave NS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
NS applies to entire entry................ NS Column 2
RS applies ``Monolithic Microwave RS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
MT applies to 3A001.a.1.a when usable in MT Column 1
``missiles''; and to 3A001.a.5.a when
``designed or modified'' for military
use, hermetically sealed and rated for
operation in the temperature range from
below -54 [deg]C to above +125 [deg]C.
NP applies to pulse discharge capacitors NP Column 1
in 3A001.e.2 and superconducting
solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical
parameters in 3A201.a and 3A201.b,
respectively.
AT applies to entire entry................ AT Column 1

Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under 3A001.b.2 or b.3 under License
Exceptions, and Validated End-User authorizations.

License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave
transistors in 3A001.b.3, except those that are being exported or
reexported for use in civil telecommunications applications.
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for
use in civil telecommunications applications), b.9, .d, .e, .f, and
.g.
$5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), .b.4
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled
for MT), b.2 (exported or reexported for use in civil
telecommunications applications), b.8 (except for ``vacuum
electronic devices'' exceeding 18 GHz), b.9., b.10, .g, and .h, and
.i.

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in
3A001.b.2 or b.3, except those that are being exported or reexported
for use in civil telecommunications applications, to any of the
destinations listed in Country Group A:5 or A:6 (See Supplement No.
1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:

a. General purpose integrated circuits, as follows:
Note 1: Integrated circuits include the following types:

--``Monolithic integrated circuits'';
--``Hybrid integrated circuits'';
--``Multichip integrated circuits'';
--Film type integrated circuits, including silicon-on-sapphire
integrated circuits'';
--``Optical integrated circuits'';
--``Three dimensional integrated circuits'';
--``Monolithic Microwave Integrated Circuits'' (``MMICs'').
a.1. Integrated circuits designed or rated as radiation hardened
to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits,'' ``microcomputer
microcircuits,'' microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing'', field programmable
logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which
the integrated circuit will be used in unknown, Fast Fourier
Transform (FFT) processors, Static Random-Access Memories (SRAMs),
or `non-volatile memories,' having any of the following:
Technical Note: For the purposes of 3A001.a.2, `non-volatile
memories' are

[[Page 71950]]

memories with data retention over a period of time after a power
shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (+125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits designed
for civil automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from
a compound semiconductor and operating at a clock frequency
exceeding 40 MHz;
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 600 Mega Samples Per Second
(MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 65 MSPS;
N.B.: For integrated circuits that contain analog-to-digital
converters and store or process the digitized data see 3A001.a.14.
Technical Notes: For the purposes of 3A001.a.5.a:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output that represents the measured analog input. Effective
Number of Bits (ENOB) is not used to determine the resolution of the
ADC.
3. For ``multiple channel ADCs'', the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For ``interleaved ADCs'' or for ``multiple channel ADCs''
that are specified to have an interleaved mode of operation, the
``sample rates'' are aggregated and the ``sample rate'' is the
maximum combined total rate of all of the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
a.5.b.1. A resolution of 10-bit or more but less than 12-
bit,with an `adjusted update rate' of exceeding 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more and having any of the
following:
a.5.b.2.a. An `adjusted update rate' exceeding 1,250 MSPS but
not exceeding 3,500 MSPS, and having any of the following:
a.5.b.2.a.1. A settling time less than 9 ns to arrive at or
within 0.024% of full scale from a full scale step; or
a.5.b.2.a.2. A `Spurious Free Dynamic Range' (SFDR) greater than
68 dBc (carrier) when synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal frequency specified
below 100 MHz; or
a.5.b.2.b. An `adjusted update rate' exceeding 3,500 MSPS;
Technical Notes: For the purposes of 3A001.a.5.b:
1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:

<bullet> input data rate
<bullet> input word rate
<bullet> input sample rate
<bullet> maximum total input bus rate
<bullet> maximum DAC clock rate for DAC clock input.

a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:

--Complex Programmable Logic Devices (CPLDs);
--Field Programmable Gate Arrays (FPGAs);
--Field Programmable Logic Arrays (FPLAs);
--Field Programmable Interconnects (FPICs).

N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes: For the purposes of 3A001.a.7:
1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log<INF>2</INF> N)/20,480 ms, where N is the number of points;
Technical Note: For the purposes of 3A001.a.12, when N is equal
to 1,024 points, the formula in 3A001.a.12 gives an execution time
of 500 [mu]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: For the purposes of 3A001.a.13, the DAC clock
frequency may be specified as the master clock frequency or the
input clock frequency.
a.14. Integrated circuits that perform or are programmable to
perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the
following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes: For the purposes of 3A001.a.14:

[[Page 71951]]

1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that represents the measured analog input.
Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For integrated circuits with non-interleaving ``multiple
channel ADCs'', the ``sample rate'' is not aggregated and the
``sample rate'' is the maximum rate of any single channel.
4. For integrated circuits with ``interleaved ADCs'' or with
``multiple channel ADCs'' that are specified to have an interleaved
mode of operation, the ``sample rates'' are aggregated and the
``sample rate'' is the maximum combined total rate of all of the
interleaved channels.
b. Microwave or millimeter wave items, as follows:
Technical Note: For the purposes of 3A001.b, the parameter peak
saturated power output may also be referred to on product data
sheets as output power, saturated power output, maximum power
output, peak power output, or peak envelope power output.
b.1. ``Vacuum electronic devices'' and cathodes, as follows:
Note 1: 3A001.b.1 does not control ``vacuum electronic devices''
designed or rated for operation in any frequency band and having all
of the following:
a. Does not exceed 31.8 GHz; and
b. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-``space-qualified''
``vacuum electronic devices'' having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and
having all of the following:
1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
2. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling-wave ``vacuum electronic devices,'' pulsed or
continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the
following:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1;
b.1.a.4.c. Being ``space-qualified''; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier ``vacuum electronic devices''
with a gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for ``vacuum electronic
devices,'' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
b.1.d. ``Vacuum electronic devices'' with the capability to
operate in a `dual mode.'
Technical Note: For the purposes of 3A001.b.1.d, `dual mode'
means the ``vacuum electronic device'' beam current can be
intentionally changed between continuous-wave and pulsed mode
operation by use of a grid and produces a peak pulse output power
greater than the continuous-wave output power.
b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that are any of the following:
N.B.: For ``MMIC'' amplifiers that have an integrated phase
shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.2.a.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm)
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.d. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.2.a through 3A001.b.2.h, is determined
by the lowest peak saturated power output control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are any of the
following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;

[[Page 71952]]

b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz;
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
or
b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e
and rated for operation with a peak saturated power output greater
than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and
including 31.8 GHz;
Note 1: The control status of a transistor in 3A001.b.3.a
through 3A001.b.3.e, whose rated operating frequency includes
frequencies listed in more than one frequency range, as defined by
3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak
saturated power output control threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.45
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ``MMIC'' amplifiers see 3A001.b.2.
2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.
3. For converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined
by the lowest peak saturated power output control threshold.
b.5. Electronically or magnetically tunable band-pass or band-
stop filters, having more than 5 tunable resonators capable of
tuning across a 1.5:1 frequency band (f<INF>max</INF>/
f<INF>min</INF>) in less than 10 [mu]s and having any of the
following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that are any of the
following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal
generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network
analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing ``vacuum electronic
devices'' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave ``vacuum electronic device,'' a ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') and an integrated
electronic power conditioner and having all of the following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(f<INF>max</INF> > 2f<INF>min</INF>) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: For the purposes of 3A001.b.9:
1. To calculate the volume in 3A001.b.9.b, the following example
is provided: for a maximum rated power of 20 W, the volume would be:
20 W X 10 cm3/W = 200 cm3.
2. The `turn-on time' in 3A001.b.9.a refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than -(126 + 20log<INF>10</INF>F-20log<INF>10</INF>f) anywhere
within the range of 10 Hz <= F <= 10 kHz;
Technical Note: For the purposes of 3A001.b.10, F is the offset
from the operating frequency in Hz and f is the operating frequency
in MHz.
b.11. `Frequency synthesizer' ``electronic assemblies'' having a
``frequency switching time'' as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but
not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 [micro]s for any frequency change
exceeding 550 MHz within the synthesized frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
b.11.e. Less than 100 [micro]s for any frequency change
exceeding 2.2 GHz within the synthesized frequency range exceeding
37 GHz but not exceeding 75 GHz;
b.11.f. Less than 100 [micro]s for any frequency change
exceeding 5.0 GHz within the synthesized frequency range exceeding
75 GHz but not exceeding 90 GHz; or
b.11.g. Less than 1 ms within the synthesized frequency range
exceeding 90 GHz;
Technical Note: For the purposes of 3A001.b.11, a `frequency
synthesizer' is any kind of frequency source, regardless of the
actual technique used, providing a

[[Page 71953]]

multiplicity of simultaneous or alternative output frequencies, from
one or more outputs, controlled by, derived from or disciplined by a
lesser number of standard (or master) frequencies.
N.B.: For general purpose ``signal analyzers'', signal
generators, network analyzers and microwave test receivers, see
3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
b.12. `Transmit/receive modules,' `transmit/receive MMICs,'
`transmit modules,' and `transmit MMICs,' rated for operation at
frequencies above 2.7 GHz and having all of the following:
b.12.a. A peak saturated power output (in watts),
P<INF>sat</INF>, greater than 505.62 divided by the maximum
operating frequency (in GHz) squared [P<INF>sat</INF>>505.62
W*GHz\2\/f<INF>GHz</INF>\2\] for any channel;
b.12.b. A ``fractional bandwidth'' of 5% or greater for any
channel;
b.12.c. Any planar side with length d (in cm) equal to or less
than 15 divided by the lowest operating frequency in GHz [d <=
15cm*GHz*N/f<INF>GHz</INF>] where N is the number of transmit or
transmit/receive channels; and
b.12.d. An electronically variable phase shifter per channel.
Technical Notes: For the purposes of 3A001.b.12:
1. A `transmit/receive module' is a multifunction ``electronic
assembly'' that provides bi-directional amplitude and phase control
for transmission and reception of signals.
2. A `transmit module' is an ``electronic assembly'' that
provides amplitude and phase control for transmission of signals.
3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that
provides bi-directional amplitude and phase control for transmission
and reception of signals.
4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and
phase control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency
(fGHz) in the formula in 3A001.b.12.c for transmit/receive or
transmit modules that have a rated operation range extending
downward to 2.7 GHz and below [d<=15cm*GHz*N/2.7 GHz].
6. 3A001.b.12 applies to `transmit/receive modules' or `transmit
modules' with or without a heat sink. The value of d in 3A001.b.12.c
does not include any portion of the `transmit/receive module' or
`transmit module' that functions as a heat sink.
7. `Transmit/receive modules' or `transmit modules,' `transmit/
receive MMICs' or `transmit MMICs' may or may not have N integrated
radiating antenna elements where N is the number of transmit or
transmit/receive channels.
c. Acoustic wave devices as follows and ``specially designed''
``components'' therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6
GHz and having any of the following:
c.1.b.1. A `frequency side-lobe rejection' exceeding 65 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [micro]s; or
c.1.c. A carrier frequency of 1 GHz or less and having any of
the following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [micro]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [micro]s; or
c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a
bandwidth greater than 100 MHz;
Technical Note: For the purposes of 3A001.c.1, `frequency side-
lobe rejection' is the maximum rejection value specified in data
sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct
processing of signals at frequencies exceeding 6 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
Note: 3A001.c does not control acoustic wave devices that are
limited to a single band pass, low pass, high pass or notch
filtering, or resonating function.
d. Electronic devices and circuits containing ``components,''
manufactured from ``superconductive'' materials, ``specially
designed'' for operation at temperatures below the ``critical
temperature'' of at least one of the ``superconductive''
constituents and having any of the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' as follows:
e.1.a `Primary cells' having any of the following at 20[deg]C:
e.1.a.1. `Energy density' exceeding 550 Wh/kg and a `continuous
power density' exceeding 50 W/kg; or
e.1.a.2. `Energy density' exceeding 50 Wh/kg and a `continuous
power density' exceeding 350 W/kg;
e.1.b. `Secondary cells' having an `energy density' exceeding
350 Wh/kg at 20[deg]C;
Technical Notes:
1. For the purposes of 3A001.e.1, `energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the mass in kilograms. If
the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purposes of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purposes of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purposes of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
5. For the purposes of 3A001.e.1.a, `continuous power density'
(W/kg) is calculated from the nominal voltage multiplied by the
specified maximum continuous discharge current in amperes (A)
divided by the mass in kilograms. `Continuous power density' is also
referred to as specific power.
Note: 3A001.e does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids,
``specially designed'' to be fully charged or discharged in less
than one second and having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids ``specially designed'' for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified,''
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: For the purposes of 3A001.e.4, `AM0', or `Air
Mass Zero', refers to the spectral irradiance of sun light in the
earth's outer atmosphere when the distance between the earth and sun
is one astronomical unit (AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second of arc and
``specially designed'' encoder rings, discs or scales therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules',

[[Page 71954]]

using either electrically, optically, or electron radiation
controlled switch methods and having any of the following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[mu]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[mu]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 1: 3A001.g. includes:

--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons

Note 2: 3A001.g does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a `thyristor
module' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or
`modules', having all of the following:
h.1. Rated for a maximum operating junction temperature greater
than 488 K (215[deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, `modules' contain
one or more solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes
drain to source voltage, collector to emitter voltage, repetitive
peak reverse voltage and peak repetitive off-state blocking voltage.
Note 2: 3A001.h includes:

--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect Transistor
(DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--Gate Turn-Off Thyristors (GTOs)
--Emitter Turn-Off Thyristors (ETOs)
--PiN Diodes
--Schottky Diodes

Note 3: 3A001.h does not apply to switches, diodes, or
`modules', incorporated into equipment designed for civil
automobile, civil railway, or ``civil aircraft'' applications.
i. Intensity, amplitude, or phase electro-optic modulators,
designed for analog signals and having any of the following:
i.1. A maximum operating frequency of more than 10 GHz but less
than 20 GHz, an optical insertion loss equal to or less than 3 dB
and having any of the following:
i.1.a. A `half-wave voltage' (`V[pi]') less than 2.7 V when
measured at a frequency of 1 GHz or below; or
i.1.b. A `V[pi]' of less than 4 V when measured at a frequency
of more than 1 GHz; or
i.2. A maximum operating frequency equal to or greater than 20
GHz, an optical insertion loss equal to or less than 3 dB and having
any of the following:
i.2.a. A `V[pi]' less than 3.3 V when measured at a frequency of
1 GHz or below; or
i.2.b. A `V[pi]' less than 5 V when measured at a frequency of
more than 1 GHz.
Note: 3A001.i includes electro-optic modulators having optical
input and output connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of 3A001.i, a `half-wave
voltage' (`V[pi]') is the applied voltage necessary to make a phase
change of 180 degrees in the wavelength of light propagating through
the optical modulator.
* * * * *
3A002 General purpose ``electronic assemblies,'' modules and
equipment, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
MT applies to 3A002.h when the parameters MT Column 1
in 3A101.a.2.b are met or exceeded.
AT applies to entire entry................ AT Column 1

Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated
End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $3000: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in
3A002.g.1 to any of the destinations listed in Country Group A:6
(See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See Category XV(e)(9) of the USML for certain
``space-qualified'' atomic frequency standards ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
Items:

a. Recording equipment and oscilloscopes, as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient recorders, see
3A002.h.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained `continuous throughput' of more than 6.4
Gbit/s to disk or solid-state drive memory; and
a.6.b. ``Signal processing'' of the radio frequency signal data
while it is being recorded;
Technical Notes: For the purposes of 3A002.a.6:
1. For recorders with a parallel bus architecture, the
`continuous throughput' rate is the highest word rate multiplied by
the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can record to disk or solid-state drive memory without
the loss of any information while sustaining the input digital data
rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square
(rms) noise voltage of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise value for any input 3dB
bandwidth of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling
oscilloscopes.
b. [Reserved]
c. ``Signal analyzers'' as follows:
c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth
(RBW) exceeding 40 MHz anywhere within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
c.2. ``Signal analyzers'' having a Displayed Average Noise Level
(DANL) less (better) than -150 dBm/Hz anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
c.4. ``Signal analyzers'' having all of the following:
c.4.a. `Real-time bandwidth' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB
reduction from full amplitude due to gaps or windowing effects, of
signals having a duration of 15 [mu]s or less; or
c.4.b.2. A `frequency mask trigger' function, with 100%
probability of trigger (capture) for signals having a duration of 15
[mu]s or less;
Technical Notes:
1. For the purposes of 3A002.c.4.a, `real-time bandwidth' is the
widest frequency range for which the analyzer can continuously
transform time-domain data entirely into frequency-domain results,
using a Fourier or other discrete time transform that processes
every incoming time point, without a reduction of measured amplitude
of more than 3 dB below the actual signal amplitude caused by gaps
or windowing effects, while outputting or displaying the transformed
data.
2. For the purposes of 3A002.c.4.b.1., probability of discovery
is also referred to as probability of intercept or probability of
capture.

[[Page 71955]]

3. For the purposes of 3A002.c.4.b.1, the duration for 100%
probability of discovery is equivalent to the minimum signal
duration necessary for the specified level measurement uncertainty.
4. For the purposes of 3A002.c.4.b.2, a `frequency mask trigger'
is a mechanism where the trigger function is able to select a
frequency range to be triggered on as a subset of the acquisition
bandwidth while ignoring other signals that may also be present
within the same acquisition bandwidth. A `frequency mask trigger'
may contain more than one independent set of limits.
Note: 3A002.c.4 does not apply to those ``signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of
the following, anywhere within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. `Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A ``frequency switching time'' as specified by any of the
following:
d.3.a. [Reserved]
d.3.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 [mu]s for any frequency change exceeding
550 MHz within the frequency range exceeding 31.8 GHz but not
exceeding 37 GHz;
d.3.e. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 37 GHz but not
exceeding 75 GHz; or
d.3.f. [Reserved]
d.3.g. Less than 100 [mu]s for any frequency change exceeding
5.0 GHz within the frequency range exceeding 75 GHz but not
exceeding 90 GHz.
d.4. A single sideband (SSB) phase noise, in dBc/Hz, specified
as being any of the following:
d.4.a. Less (better) than -(126 + 20 log<INF>10</INF> F-
20log<INF>10</INF>f) for anywhere within the range of 10 Hz <= F <=
10 kHz anywhere within the frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than -(206-20log<INF>10</INF>f) for
anywhere within the range of 10 kHz < F <= 100 kHz anywhere within
the frequency range exceeding 3.2 GHz but not exceeding 90 GHz;
Technical Note: For the purposes of 3A002.d.4, F is the offset
from the operating frequency in Hz and f is the operating frequency
in MHz.
d.5. An `RF modulation bandwidth' of digital baseband signals as
specified by any of the following:
d.5.a. Exceeding 2.2 GHz within the frequency range exceeding
4.8 GHz but not exceeding 31.8 GHz;
d.5.b. Exceeding 550 MHz within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
d.5.c. Exceeding 2.2 GHz within the frequency range exceeding 37
GHz but not exceeding 75 GHz;
d.5.d. Exceeding 5.0 GHz within the frequency range exceeding 75
GHz but not exceeding 90 GHz; or
Technical Note: For the purposes of 3A002.d.5, `RF modulation
bandwidth' is the Radio Frequency (RF) bandwidth occupied by a
digitally encoded baseband signal modulated onto an RF signal. It is
also referred to as information bandwidth or vector modulation
bandwidth. I/Q digital modulation is the technical method for
producing a vector-modulated RF output signal, and that output
signal is typically specified as having an `RF modulation
bandwidth'.
d.6. A maximum frequency exceeding 90 GHz;
Note 1: For the purposes of 3A002.d, signal generators include
arbitrary waveform and function generators.
Note 2: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
Technical Notes:
1. For the purposes of 3A002.d, the maximum frequency of an
arbitrary waveform or function generator is calculated by dividing
the sample rate, in samples/second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, `pulse duration' is defined
as the time interval from the point on the leading edge that is 50%
of the pulse amplitude to the point on the trailing edge that is 50%
of the pulse amplitude.
e. Network analyzers having any of the following:
e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within
the operating frequency range exceeding 43.5 GHz but not exceeding
90 GHz;
e.2. An output power exceeding 1 mW (0 dBm) anywhere within the
operating frequency range exceeding 90 GHz but not exceeding 110
GHz;
e.3. `Nonlinear vector measurement functionality' at frequencies
exceeding 50 GHz but not exceeding 110 GHz; or
Technical Note: For the purposes of 3A002.e.3, `nonlinear vector
measurement functionality' is an instrument's ability to analyze the
test results of devices driven into the large-signal domain or the
non-linear distortion range.
e.4. A maximum operating frequency exceeding 110 GHz;
f. Microwave test receivers having all of the following:
f.1. Maximum operating frequency exceeding 110 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards being any of the following:
g.1. ``Space-qualified'';
g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-11/month; or
g.3. Non-``space-qualified'' and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 x
10-11/month; and
g.3.c. Total power consumption of less than 1 Watt.
h. ``Electronic assemblies,'' modules or equipment, specified to
perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with
a ``sample rate'' greater than 1.3 Giga Samples Per Second (GSPS);
h.1.b. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
h.1.d. A resolution of 14 bit or more but less than 16 bit, with
a ``sample rate'' greater than 400 Mega Samples Per Second (MSPS);
or
h.1.e. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, ``signal
analyzers,'' signal generators, network analyzers and microwave test
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d,
3A002.e and 3A002.f, respectively.
Technical Notes: For the purposes of 3A002.h:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that represents the measured analog input
word. Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For non-interleaved multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For interleaved channels on multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rates'' are
aggregated and the ``sample rate'' is the maximum combined total
rate of all the interleaved channels.
Note: 3A002.h includes ADC cards, waveform digitizers, data
acquisition cards, signal acquisition boards and transient
recorders.
* * * * *
3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled) and ``specially
designed'' ``components'' and ``accessories'' therefor.

License Requirements

Reason for Control: NS, AT

Country chart (see Supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2

[[Page 71956]]

AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

LVS: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001. a.3, or .f), and .f (lithography equipment).

List of Items Controlled

Related Controls: See also 3B991.
Related Definitions: N/A
Items:

a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
<plus-minus>2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation and having any of the
following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
b.5. Being designed and optimized to operate at beam energy of
20 keV or more and a beam current of 10mA or more for silicon
implant into a semiconductor material ``substrate'' heated to 600
[deg]C or greater;
c. [Reserved]
d. [Reserved]
e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for `sequential multiple wafer processing';
Note: 3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
Technical Notes:
1. For the purposes of 3B001.e.1, `semiconductor process tools'
refers to modular tools that provide physical processes for
semiconductor production that are functionally different, such as
deposition, implant or thermal processing.
2. For the purposes of 3B001.e.2, `sequential multiple wafer
processing' means the capability to process each wafer in different
`semiconductor process tools', such as by transferring each wafer
from one tool to a second tool and on to a third tool with the
automatic loading multi-chamber central wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. Capable of producing a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less;
Technical Note: For the purposes of 3B001.f.1.b, the `Minimum
Resolvable Feature size' (MRF) is calculated by the following
formula:

MRF = (an exposure light source wavelength in nm) x (K factor)/
numerical aperture

where the K factor = 0.35

f.2 Imprint lithography equipment capable of production features
of 45 nm or less;
Note: 3B001.f.2 includes:

--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools

f.3. Equipment ``specially designed'' for mask making having all
of the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and designed to be used by lithography equipment having a
light source wavelength less than 245 nm;
Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
N.B.: For masks and reticles, ``specially designed'' for optical
sensors, see 6B002.
i. Imprint lithography templates designed for integrated
circuits by 3A001;
j. Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon, and having all of the
following:
j.1. ``Specially designed'' for `Extreme Ultraviolet (EUV)'
lithography; and
j.2. Compliant with SEMI Standard P37.
Technical Note: For the purposes of 3B001.j, `Extreme
Ultraviolet (EUV)' refers to electromagnetic spectrum wavelengths
greater than 5 nm and less than 124 nm.
* * * * *
3D003 `Computational lithography' ``software'' ``specially
designed''for the ``development'' of patterns on EUV-lithography
masks or reticles.

License Requirements

Reason for Control: NS, AT

Country chart (see supp. No.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

TSR: Yes

List of Items Controlled

Related Controls: N/A
Related Definitions: For the purposes of 3D003, `computational
lithography' is the use of computer modelling to predict, correct,
optimize and verify imaging performance of the lithography process
over a range of patterns, processes, and system conditions.
Items:

The list of items controlled is contained in the ECCN heading.
* * * * *
3D006 `Electronic Computer-Aided Design' (`ECAD') ``software''
``specially designed'' for the ``development'' of integrated
circuits having any ``Gate-All-Around Field-Effect Transistor''
(``GAAFET'') structure, and having any of the following (see List of
Items Controlled).

License Requirements

Reason for Control: NS, AT

Country chart (see supp. no.
Control(s) 1 to part 738)

NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1

List Based License Exceptions (See Part 740 for Description of All
License Exceptions)

TSR: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

a. ``Specially designed'' for implementing `Register Transfer
Level' (`RTL') to `Geometrical Database Standard II' (`GDSII') or
equivalent standard; or
b. ``Specially designed'' for optimization of power or timing
rules.

[[Page 71957]]

Technical Notes: For the purposes of 3D006:
1. `Electronic Computer-Aided Design' (`ECAD') is a category of
``software'' tools used for designing, analyzing, optimizing, and
validating the performance of an integrated circuit or printed
circuit board.
2. `Register Transfer Level' (`RTL') is a design abstraction
which models a synchronous digital circuit in terms of the flow of
digital signals between hardware registers and the logical
operations performed on those signals.
3. `Geometrical Database Standard II' (`GDSII') is a database
file format for data exchange of integrated circuit or integrated
circuit layout artwork.
* * * * *
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of commodities controlled by
3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B (except 3B991
or 3B992) or 3C (except 3C992).

License Requirements

Reason for Control: NS, MT, NP, RS, AT

Country chart (see supp. no.
Control(s) 1 to part 738)

NS applies to ``technology'' for NS Column 1
commodities controlled by 3A001, 3A002,
3A003, 3B001, 3B002, or 3C001 to 3C006.
MT applies to ``technology'' for MT Column 1
commodities controlled by 3A001 or 3A101
for MT reasons.
NP applies to ``technology'' for NP Column 1
commodities controlled by 3A001, 3A201,
or 3A225 to 3A234 for NP reasons.
RS applies to ``technology'' for China and Macau (See Sec.
commodities controlled by 3A090 or 3B090. 742.6(a)(6))
RS applies to ``technology'' for Worldwide (See Sec.
commodities controlled in 3A090, when 742.6(a)(6))
exported from China or Macau.
AT applies to entire entry................ AT Column 1

Reporting Requirements

See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, Special Comprehensive Licenses,
and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)

TSR: Yes, except N/A for MT, and ``technology'' for the
``development'' or ``production'' of: (a) vacuum electronic device
amplifiers described in 3A001.b.8, having operating frequencies
exceeding 19 GHz; (b) solar cells, coverglass-interconnect-cells or
covered-interconnect-cells (CIC) ``assemblies'', solar arrays and/or
solar panels described in 3A001.e.4; (c) ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') amplifiers in 3A001.b.2; and (d)
discrete microwave transistors in 3A001.b.3.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment specified by ECCNs
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR). License
Exception STA may not be used to ship or transmit ``technology''
according to the General Technology Note for the ``development'' or
``production'' of components specified by ECCN 3A001.b.2 or b.3 to
any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) ``Technology'' according to the General
Technology Note for the ``development'' or ``production'' of certain
``space-qualified'' atomic frequency standards described in Category
XV(e)(9), MMICs described in Category XV(e)(14), and oscillators
described in Category XV(e)(15) of the USML are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and
9E515. (2) ``Technology'' for ``development'' or ``production'' of
``Microwave Monolithic Integrated Circuits'' (``MMIC'') amplifiers
in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only
to that additional ``technology'' ``required'' for
telecommunications.
Related Definition: N/A
Items:

The list of items controlled is contained in the ECCN heading.
Note 1: 3E001 does not control ``technology'' for equipment or
``components'' controlled by 3A003.
Note 2: 3E001 does not control ``technology'' for integrated
circuits controlled by 3A001.a.3 to a.14, having all of the
following:
(a) Using ``technology'' at or above 0.130 [mu]m; and
(b) Incorporating multi-layer structures with three or fewer
metal layers.
Note 3: 3E001 does not apply to `Process Design Kits' (`PDKs')
unless they include libraries implementing functions or technologies
for items specified by 3A001 or 3A090.
Technical Note: For the purposes of 3E001 Note 3, a `Process
Design Kit' (`PDK') is a software tool provided by a semiconductor
manufacturer to ensure that the requ

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